| 16-00931 | 08/08/2017 | Claimant(s): Gregg A. Kiken Trust U/A DTD 11/21/2001, Linda G. Kiken Trust U/A DTD 11/21/2001
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Wells Fargo Advisors, Russell Blum
Respondent Lawyers(s): Patricia E. Cowart, Russell Blum
Arbitrator(s): Steven Gerard Goerke, Sidney J. Wartel, Toby Bartosh
Hearing Site: Boca Raton, FL
|  | Expungement |
| 15-00070 | 08/04/2017 | Claimant(s): Estate of Margaret Riggs
Claimant Lawyers(s): Alan P. Fraade
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Advisors, Michael Tepperman
Respondent Lawyers(s): Zachary S. Knoblock
Arbitrator(s): Linda Ashley, Annamaria Boccia Smith, Louis P. Wagman
Hearing Site: New York, NY
| | Expungement |
| 16-01158 | 08/02/2017 | Claimant(s): Deborah Greenlee-Keck
Claimant Lawyers(s): Matthew W. Schramm
Respondent(s): Wells Fargo Advisors, J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap, William W. Allen
Arbitrator(s): Robert J. Scafuri, Judith Ann Estabrook Shepard, F. Bradford Johnson
Hearing Site: Indianapolis, IN
| | |
| 16-02793 | 07/19/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Rebecca L. Gerome
Respondent(s): Rex Ramsey
Respondent Lawyers(s): Christopher M. Carrillo
Arbitrator(s): Nancy J. Spieczny, Annette Gres Shepherd, Joseph L. Hagan
Hearing Site: Los Angeles, CA
| | |
| 16-01234 | 07/17/2017 | Claimant(s): Alan Rosenthal Family Trust
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): Wells Fargo Advisors, Russell Blum
Respondent Lawyers(s): Deirdre C. Wolff, Russell Scott Blum
Arbitrator(s): Edward W. Morris
Hearing Site: Hartford, CT
| | Expungement |
| 16-03452 | 07/13/2017 | Claimant(s): Kenneth Carter
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Jonathan A. Scobie
Arbitrator(s): Arthur Neil Tolciss
Hearing Site: New York, NY
| | |
| 16-01890 | 07/12/2017 | Claimant(s): Jan Alpert
Claimant Lawyers(s): Jan Alpert
Respondent(s): Wells Fargo Advisors, Jeffrey Thiele
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Bernard A. Kesselman, Anna Lascar, Mitchell Regenbogen
Hearing Site: New York, NY
| | Expungement |
| 17-00146 | 06/30/2017 | Claimant(s): David Rosenberg
Claimant Lawyers(s): Mark S. Gregory
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
| | |
| 16-01558 | 06/29/2017 | Claimant(s): Richard Congel
Claimant Lawyers(s): Richard C. Engel
Respondent(s): Wells Fargo Advisors, Paul Kordziel
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Stuart M. Schwartz, Michael J. McNeil, David R. Foley
Hearing Site: Syracuse, NY
| | Expungement |
| 16-02331 | 06/27/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Donald R. Littlefield
Respondent(s): Benjamin Bowden
Respondent Lawyers(s): Benjamin J. Bowden
Arbitrator(s): Mary Elizabeth Skelnik
Hearing Site: Dallas, TX
| | |
