| 15-01664 | 07/18/2016 | Claimant(s): Tommy Ayala-Rivera
Claimant Lawyers(s): Tommy Ayala-Rivera
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Steven A. Siegel
Arbitrator(s): Gregory D. Hoffmann, Donald N. Malawsky, Gary E. Marcus
Hearing Site: Tampa, FL
| | |
| 14-02953 | 07/18/2016 | Claimant(s): Ann Oldfather, F/B/O Ann B. Oldfather, Oldfather & Morris Profit Sharing Plan
Claimant Lawyers(s): Robert S. Deskins
Respondent(s): Wachovia Securities Financial Network, Wells Fargo Advisors, Jill Bradley, Wachovia Securities, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Jeffrey M. Bain, Allan Weiss, Robert Laurence Astorino
Hearing Site: Louisville, KY
|  | $181,757 |
| 15-01757 | 07/18/2016 | Claimant(s): John Long
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Keith Roberts
Hearing Site: New York, NY
| | $0 |
| 15-02538 | 07/08/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Deirdre Wolff
Respondent(s): Christopher Love
Respondent Lawyers(s): Christopher Lawrence Love
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
| | |
| 16-00415 | 07/08/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Steven Satter
Respondent(s): Keeland Howe
Respondent Lawyers(s): Keeland Douglas Howe
Arbitrator(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
| | |
| 15-01936 | 06/30/2016 | Claimant(s): Joseph Pica
Claimant Lawyers(s): Richard De Vita
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Robert R. Salman, Richard C. Antonelli, Brian J. Strum
Hearing Site: Newark, NJ
| | Expungement |
| 16-00632 | 06/29/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Robert Batchen
Respondent Lawyers(s): Robert James Batchen
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
| | |
| 14-01580 | 06/29/2016 | Claimant(s): Noor Barsar
Claimant Lawyers(s): Jared Levy
Respondent(s): Wells Fargo Advisors, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joelle A. Simms, Patricia E. Cowart
Arbitrator(s): Marc T. Danon, Carl Shechter, Herbert Branitsky
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-00960 | 06/28/2016 | Claimant(s): Francine Frechter
Claimant Lawyers(s): Brad S. Maistrow
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Anthony Paduano
Arbitrator(s): Richard W. Vallario, Shelley Teitelbaum, David Francis MacNair
Hearing Site: New York, NY
| | |
| 13-02639 | 06/22/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Mark Aronson
Respondent Lawyers(s): Thomas J. Momjian
Arbitrator(s): Thomas Benjamin Salzer
Hearing Site: Philadelphia, PA
| | |
