| 16-03467 | 02/27/2018 | Claimant(s): Kimberly Lambert
Claimant Lawyers(s): Adam M. Green
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): David Paul Clark
Hearing Site: Washington, DC
|  | Expungement |
| 16-01519 | 02/20/2018 | Claimant(s): Merle Propp, Robert Propp, Merle Carter Family Trust dated March 5,
Claimant Lawyers(s): Kristin M. Cano, Steven L. Stern
Respondent(s): Wells Fargo Advisors, Jackson National Life Distributors LLC
Respondent Lawyers(s): Kevin K. Fitzgerald, Patrick Y. Yoo
Arbitrator(s): Joseph Winter, Martin J. Kotowski, Steven Cohen
Hearing Site: Los Angeles, CA
| | Expungement |
| 17-00665 | 02/15/2018 | Claimant(s): Jane Hoffman
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Wells Fargo Advisors, Ronald Guertin
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Jacquelyn M. Shannon
Hearing Site: Tampa, FL
| | Expungement |
| 16-03521 | 02/01/2018 | Claimant(s): Ryan Wyatt
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Wells Fargo Advisors, Wunderlich Securities.
Respondent Lawyers(s): Patricia E. Cowart, Tracy Wiswall
Arbitrator(s): Marc T. Danon, Ken Ziesenheim, John Briggs
Hearing Site: Orlando, FL
| | |
| 16-03011 | 02/01/2018 | Claimant(s): Karen Caldwell
Claimant Lawyers(s): Karen G. Caldwell
Respondent(s): Wells Fargo Advisors, Mary Stockinger
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Mary E. Woytek, Frank Samuel Perri, Brock B. Gordon
Hearing Site: Charlotte, NC
| | Expungement |
| 16-00720 | 01/31/2018 | Claimant(s): Jerry McMillon, Jerry A. McMillon Living Trust Under Agr
Claimant Lawyers(s): Mark A. Pruner
Respondent(s): Jason Jaffee, Wells Fargo Advisors, Wells Fargo Securities, John Lee, Wells Fargo Company
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Carlos Richard Mangum, Dean J. Dietrich, Arocles Aguilar
Hearing Site: San Francisco, CA
| | Expungement |
| 16-02312 | 01/22/2018 | Claimant(s): Fredrick Stepan, Marion Stepan, The Stepan Trust dated January 18, 2013
Claimant Lawyers(s): Aaron Israels
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Donald N. Tolin, Deanna M. Tuley, Leonard M. Goldstein
Hearing Site: Denver, CO
| | Expungement |
| 16-01969 | 01/17/2018 | Claimant(s): Sean Fetterman
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Wells Fargo Advisors, FMSBonds.
Respondent Lawyers(s): Beverly Jo Slaughter, Sydney A. Marks
Arbitrator(s): Richard J. Kaplan, Linda M. Foster-Wells, Jay Eng
Hearing Site: Boca Raton, FL
| | |
| 17-00561 | 01/10/2018 | Claimant(s): Timothy Foster
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
| | |
| 17-01522 | 01/04/2018 | Claimant(s): Xiang Zhang
Claimant Lawyers(s): Xiang Zhang
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): T.R, Bynum
Arbitrator(s): Howard N. Gorney
Hearing Site: Boston, MA
| | $38 |
