| 12-03340 | 12/24/2013 | Claimant(s): Renee Greenberg, Renee Greenberg Trust U/A DTD 3/21/02
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): John R. Pepe, Daniel P. Lund, Joseph John Mantione
Hearing Site: Orlando, FL
|  | Expungement |
| 11-04241 | 12/24/2013 | Claimant(s): James Cohen, Worldwide Media Services., Custodian for Alexander I. Cohen, Custodian for Jaclyn J. Cohen, Custodian for Justin J. Cohen, Custodian for Robert B. Cohen II, Robert B. Cohen Living Trust
Claimant Lawyers(s): William F. Dahill
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Dwight Wassong, Joan Dawn Hogarth, Stanley M. Lenkowicz
Hearing Site: Newark, NJ
| | $0 |
| 10-04296 | 12/23/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Bryan Clark
Respondent Lawyers(s): Gregory J. Sherwin
Arbitrator(s): Elizabeth Anne Moreno
Hearing Site: Los Angeles, CA
| | |
| 12-02101 | 12/19/2013 | Claimant(s): Estate of Dorris Arris
Claimant Lawyers(s): Roger G. Bresnahan
Respondent(s): Wachovia Securities, Wells Fargo Advisors, Gerald Cohn, The Cohn Financial Group
Respondent Lawyers(s): Martha F. McDugald
Arbitrator(s): Dale A. Hearn, Charles E. Munson, Stephanie E. Simmons
Hearing Site: Houston, TX
| | Expungement |
| 12-01521 | 12/18/2013 | Claimant(s): The Herman Drazick Revocable Living Trst
Claimant Lawyers(s): Charles Carlson
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-02050 | 12/17/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Eric Dishner
Respondent Lawyers(s): Eric Martin Dishner
Arbitrator(s): Jacquelyn M. Shannon
Hearing Site: Tampa, FL
| | |
| 13-00033 | 12/16/2013 | Claimant(s): Phone Sales USA., Randy Mims IRA
Claimant Lawyers(s): Randy Mims
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Alan J. Blocher, Kenneth D. Morris, Robin L. Lewis
Hearing Site: Philadelphia, PA
| | $10,000 |
| 12-04333 | 12/13/2013 | Claimant(s): Brad Johnson
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Thomas Kopshever
Arbitrator(s): Keith C. Folkman, Ross W. Cannon, James R. Medley
Hearing Site: Helena, MT
| | Expungement |
| 12-03175 | 12/10/2013 | Claimant(s): Walter Schild
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Joyce L. Hurley, Constance Ellen Boukidis, Owen Frances
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-01934 | 12/09/2013 | Claimant(s): Stacy Stripling, Love Investments, Matisse Investments
Claimant Lawyers(s): Stacy Stripling
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Walter S. Weiss, Elliott David Finkel, Olivia J. Valentine
Hearing Site: Los Angeles, CA
| | Expungement |
