| 13-00765 | 08/06/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Jimmy Stroud
Respondent Lawyers(s): Jimmy Clayton Stroud
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
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| 12-01869 | 08/05/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Harry D. Frisch
Respondent(s): Keith Sequeira
Respondent Lawyers(s): Keith Patrick Sequeira
Arbitrator(s): Thomas J. Hanrahan, Sam Antar, Bryan David Glass
Hearing Site: Newark, NJ
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| 14-00172 | 07/31/2014 | Claimant(s): Teresa Harmon
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
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| 13-00779 | 07/30/2014 | Claimant(s): Spencer Sheard
Claimant Lawyers(s): John F. Hill
Respondent(s): Wells Fargo Advisors, The Estate of Karl Baumholtz, Deceased
Respondent Lawyers(s): Deirdre C. Wolff, Karlene Clark
Arbitrator(s): Benjamin B. Segel, Jeffrey M. Bain, Cynthia Diane Rudick
Hearing Site: Cleveland, OH
|  | $144,125 |
| 12-02802 | 07/28/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Andrew R. Park
Respondent(s): John McLean
Respondent Lawyers(s): John A. McLean
Arbitrator(s): Clarence Jordan Ball, Donita M. King, JoAnne Lewis Nolte
Hearing Site: Richmond, VA
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| 13-01793 | 07/25/2014 | Claimant(s): Daniel Bosch, Margaret Bosch
Claimant Lawyers(s): Richard D. De Vita
Respondent(s): Wells Fargo Advisors, Banc of America Investment Services Inc.
Respondent Lawyers(s): Dominck F. Evangelista, Susan E. Mulholland
Arbitrator(s): Jon Martino, Louis P. Wagman, Jacob Scherer
Hearing Site: Newark, NJ
| | Expungement |
| 13-01639 | 07/24/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Gary Redden
Respondent Lawyers(s): Benjamin Alexander
Arbitrator(s): Jack Chapline Vaughan
Hearing Site: New Orleans, LA
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| 11-01245 | 07/16/2014 | Claimant(s): Kevin McCluskey
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Steven Gerard Goerke, Gloria O. North, Mitchell F. Colen
Hearing Site: Boca Raton, FL
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| 13-01236 | 07/15/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Thomas Hinano-Stearns
Respondent Lawyers(s): Thomas Brown Hinano-Stearns
Arbitrator(s): Michael J. Fish
Hearing Site: Honolulu, HI
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| 13-01425 | 07/15/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): R. Rhett Owens
Respondent(s): Matthew Burns
Respondent Lawyers(s): Matthew Alan Burns
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Charlotte, NC
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