| 16-00136 | 06/20/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sara Soto
Respondent(s): Jay Sutherland
Respondent Lawyers(s): Jay Steven Sutherland
Arbitrator(s): Jack A. Helms
Hearing Site: Orlando, FL
| | |
| 15-00074 | 06/16/2016 | Claimant(s): Mark Schroeder
Claimant Lawyers(s): Chad C. Beaver
Respondent(s): Wachovia Securities Financial Network, Wells Fargo Advisors, Jeffrey Holloway, First Clearing, Sean Harman, Timothy Tadlock, Holloway and Harman Capital Management,
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph R. Soraghan, Michael D. Fitzgerald, Dennis Shrewsbury
Hearing Site: Kansas City, MO
|  | $423,770 |
| 15-02955 | 06/06/2016 | Claimant(s): Thomas Helm
Claimant Lawyers(s): Megan Christensen
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): J. Burke McCormick
Arbitrator(s): Joseph J. Dougherty, Timothy Towles Stevens, John Joseph D'Alessandro
Hearing Site: Philadelphia, PA
| | |
| 14-03446 | 06/03/2016 | Claimant(s): Marie Cabral
Claimant Lawyers(s): Marie Cabral
Respondent(s): Wells Fargo Advisors, James Connors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Robert Titus, Stephen Z. Frank, Jeffrey S. Troderman
Hearing Site: Montpelier, VT
| | Expungement |
| 14-03379 | 06/01/2016 | Claimant(s): Larry Kattman
Claimant Lawyers(s): Louise J. Kattman
Respondent(s): Wells Fargo Advisors, Michael Lundin
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Mark L Miller, Sherrill Wm Colvin, Todd Machowiak
Hearing Site: Indianapolis, IN
| | Expungement |
| 14-02849 | 05/31/2016 | Claimant(s): The John A. Caw Estate
Claimant Lawyers(s): William B. Young
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Michael P. Marryshow
Hearing Site: Philadelphia, PA
| | $66,225 |
| 14-02356 | 05/31/2016 | Claimant(s): Janice Levy
Claimant Lawyers(s): Deborah R. Gross
Respondent(s): Wells Fargo Advisors, Kevin Larkin
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Gordon M. Wase, Fred M. Fleisher, Catherine Stewart
Hearing Site: Philadelphia, PA
| | $0 |
| 14-03649 | 05/19/2016 | Claimant(s): Arthur Torrellas, Arthur A. Torrellas Q-Tip Marital Trust, Arthur A. Torrellas Survivor's Trust, Arthur Torrellas NonExempt QTip Marital, Carole M. Torrellas Decedent's Trust
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Wells Fargo Advisors, Eric Spraker, Richard Spraker
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Ronald L. Cameron, Robert Rosen, Steven K. Ogata
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-00554 | 05/12/2016 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Wells Fargo Advisors, David Kinnear
Respondent Lawyers(s): Gary I. Blackman
Arbitrator(s): G. Gale Roberson, Robert J. Larson, Rody P. Biggert
Hearing Site: Chicago, IL
| | |
| 14-01768 | 05/12/2016 | Claimant(s): Marion Brakefield, Marion Brakefield as the Executrix
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): W. William Harness, James Edward Seale, Rachel Kay Russell
Hearing Site: Birmingham, AL
| | Expungement |
