| 15-02425 | 05/04/2018 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Alice Bates, James Johnson, Jeffrey Hughes, Robert Samson, Tyson Ray, William Finke
Respondent Lawyers(s): Lisa S. Fildes, Matthew B. Baum, William George Finke
Arbitrator(s): Langfred W. White, Gregory D. Hoffmann, James Arthur Taylor
Hearing Site: Tampa, FL
| | |
| 16-01810 | 04/26/2018 | Claimant(s): HCM Consulting, The HCM Consulting. Pension Plan
Claimant Lawyers(s): Richard Kyle Gavin
Respondent(s): Wells Fargo Advisors, John Crockenberg, Mark Hoffman
Respondent Lawyers(s): Benjamin J. Biard, Beverly Jo Slaughter
Arbitrator(s): Muriel Desloovere, Marshal H. Emerson, David Henry Samson
Hearing Site: Jacksonville, FL
|  | $76,257 |
| 16-02246 | 04/24/2018 | Claimant(s): Jacob Coronado
Claimant Lawyers(s): Henry D. Nunez
Respondent(s): Wells Fargo Advisors, Wells Fargo Investments, Mark Nance, Michael Muller, Wells Fargo Bank National Association
Respondent Lawyers(s): Michael Joseph Gomez
Arbitrator(s): Paul J. Dubow, Peter H. Daly, Mary Margaret Bush
Hearing Site: San Francisco, CA
| | $181,931 |
| 16-00123 | 03/27/2018 | Claimant(s): Gary Helbling
Claimant Lawyers(s): Richard Slavin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Jeffrey A. Fritz
Arbitrator(s): Diane Ciccone, Paul Smith Besson, Richard Hallett Nichol
Hearing Site: Hartford, CT
| | |
| 14-02376 | 03/22/2018 | Claimant(s): Edward S. Adamy and Lois S. Adamy, TIC
Claimant Lawyers(s): Steve Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Sharon R. Merriman, Arthur L. Tepper, Edwin Joseph Rehrman
Hearing Site: Louisville, KY
| | Expungement |
| 16-03523 | 03/21/2018 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Todd Ratner
Respondent(s): Mark Anthony
Respondent Lawyers(s): Bryant Duke Paris III
Arbitrator(s): Fred Kelner, Margaret Elizabeth Gee, Theresa Joan Rosenberg
Hearing Site: Raleigh, NC
| | |
| 17-00508 | 03/19/2018 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kevin J. Woods
Respondent(s): Jennifer Metcalf
Respondent Lawyers(s): Jennifer Marie Metcalf
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Salt Lake City, UT
| | |
| 17-01341 | 03/08/2018 | Claimant(s): Mahnaz Daniali
Claimant Lawyers(s): Mahnaz Daniali
Respondent(s): Daniel Halsne, Wells Fargo Advisors
Respondent Lawyers(s): T.R. Bynum
Arbitrator(s): Peter H. Daly
Hearing Site: Seattle, WA
| | $117 |
| 16-00412 | 03/06/2018 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Patricia E. Cowart
Respondent(s): William De Cardenas
Respondent Lawyers(s): Francisco J. Escalante
Arbitrator(s): William E. Schneider
Hearing Site: Boca Raton, FL
| | |
| 16-02369 | 03/05/2018 | Claimant(s): Ann Ellingson, Ann B. Ellingson IRA Accounts, Ellingson Family Partners Business Trust
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Neil S. Jasper, Michael M. Hachigian, Mark Thomas Risner
Hearing Site: Los Angeles, CA
| | Expungement |
