| 17-00015 | 09/11/2017 | Claimant(s): Don Monteath
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
|  | Dismissed by Rule 12206 |
| 17-00704 | 09/08/2017 | Claimant(s): Peter R. Caccippio Revocable Living Tr
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Wallace Anthony Showman
Hearing Site: New York, NY
| | $50,600 |
| 16-01908 | 09/06/2017 | Claimant(s): Helene Brandon, Helene Brandon Rev Trust U/A DTD 8-6-03
Claimant Lawyers(s): Jerard C. Heller
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): T.R. Bynum III
Arbitrator(s): Marc T. Danon, Alfred L. Simon, Stacey Rosenthal
Hearing Site: Boca Raton, FL
| | Expungement |
| 15-03318 | 08/29/2017 | Claimant(s): Thomas Moran
Claimant Lawyers(s): Craig Stein
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Bruce K. Isenberg, Donald Theodore Ryce, Jay Eng
Hearing Site: Boca Raton, FL
| | |
| 16-03073 | 08/24/2017 | Claimant(s): Kum Kang
Claimant Lawyers(s): Kum Hee Kang
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Janell M. Ahnert
Arbitrator(s): James G. Killough, Robert H. Putnam, Leslie D. Mercier
Hearing Site: Atlanta, GA
| | |
| 16-00826 | 08/23/2017 | Claimant(s): Charles Morgan, Charles W. Morgan Revocable Living Trust
Claimant Lawyers(s): Charles W. Morgan
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie, Esq.
Arbitrator(s): Michael Harrison, Richard M. Norman, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-00039 | 08/18/2017 | Claimant(s): Joseph Focil
Claimant Lawyers(s): Augusto Focil
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): David J. Anderson, Mario H. Metzger, Michael R. Diliberto
Hearing Site: Los Angeles, CA
| | |
| 17-00747 | 08/18/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kevin J. Woods
Respondent(s): James Stanton
Respondent Lawyers(s): James William Stanton
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
| | |
| 16-03084 | 08/17/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Bruce Lewitas
Respondent(s): Lisa Schesso
Respondent Lawyers(s): Lisa Kay Schesso
Arbitrator(s): William M. Getzoff
Hearing Site: Minneapolis, MN
| | |
| 16-01277 | 08/16/2017 | Claimant(s): R. B. Corbin, Jr. Trust
Claimant Lawyers(s): Richard B. Corbin
Respondent(s): Wells Fargo Advisors, Maiya Furgason
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Steven R. Rolnick, James R. Collins, Thomas Matthew Madden
Hearing Site: Providence, RI
| | $0 |
