| 13-00718 | 05/16/2014 | Claimant(s): Sud Family Limited Partnership
Claimant Lawyers(s): Mark Sanders
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Jerry D. Mc Cormack, Gerald J. Thain, Mark A. Frankel
Hearing Site: Milwaukee, WI
|  | Expungement |
| 12-04159 | 05/01/2014 | Claimant(s): Ralph Bixler
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Catherine Santiago, Wells Fargo Advisors, Margarita Figueroa
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Steven Gerard Goerke, Jonathan H. Parker, Barry David Thorpe
Hearing Site: San Juan, PR
| | Expungement |
| 12-03340 | 12/24/2013 | Claimant(s): Renee Greenberg, Renee Greenberg Trust U/A DTD 3/21/02
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): John R. Pepe, Daniel P. Lund, Joseph John Mantione
Hearing Site: Orlando, FL
| | Expungement |
| 12-02349 | 11/26/2013 | Claimant(s): J.W. Pickens, J.W. Pickens Jr., as Trustee U/W/O JW
Claimant Lawyers(s): Elizabeth Zeck
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Charles L.A. Terreni, Walter J. Wylie, Lisa Bass Morris
Hearing Site: Columbia, SC
| | $1,307,920 |
| 11-04690 | 07/22/2013 | Claimant(s): Carol Kafka, Candice Company., Father & Sons Contractors., Father and Son's Home Improvement II,, Riverside Management., Riverside Realty.
Claimant Lawyers(s): Charles Carlson
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Mark L Miller, Edward Louis Koven, Edward Johannes Hertenstein
Hearing Site: Chicago, IL
| | Expungement |
| 11-00611 | 10/17/2012 | Claimant(s): Peggy A. Boyles IRA
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Mimi B. Osiason, Frank Brenner, Audrey Belitz Rauchway
Hearing Site: Tampa, FL
| | $0 |
| 11-02713 | 09/28/2012 | Claimant(s): Helen Puskadi, Helen Puskadi Living Trust UAD 8/14/03
Claimant Lawyers(s): William S. Isenberg
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Donald Theodore Ryce
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 11-01784 | 09/11/2012 | Claimant(s): Rollin Park
Claimant Lawyers(s): Craig H. Kuglar
Respondent(s): Wells Fargo Advisors, Harry Oldham, Robert Haggard
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Mollie Wagner Neal, David E. Morris, William Clay Gilbert
Hearing Site: Atlanta, GA
| | $0 |
| 11-02073 | 08/10/2012 | Claimant(s): Patricia V. Stein IRA, Tracy M. Stein IRA, Tracy Mitchell Stein Trst, P. Stein Ttee, T. Stein Ttee
Claimant Lawyers(s): William B. Young
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Robert L. Hudson, David P. Slater, Edmund Herbert Hecht
Hearing Site: Orlando, FL
| | Expungement |
| 10-05040 | 11/17/2011 | Claimant(s): Florian Wisniewski, Marilyn Wisniewski
Claimant Lawyers(s): Banjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Stephen C. Esposito
Hearing Site: Chicago, IL
| | Expungement |
