| 12-01518 | 09/11/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jennifer R. Seltenrich
Respondent(s): Stephen Collins
Respondent Lawyers(s): Stephen Patrick Collins
Arbitrator(s): Franklin P. Chapman
Hearing Site: New York, NY
| | |
| 11-01784 | 09/11/2012 | Claimant(s): Rollin Park
Claimant Lawyers(s): Craig H. Kuglar
Respondent(s): Wells Fargo Advisors, Harry Oldham, Robert Haggard
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Mollie Wagner Neal, David E. Morris, William Clay Gilbert
Hearing Site: Atlanta, GA
|  | $0 |
| 11-03510 | 09/07/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Christopher Obenchain
Respondent Lawyers(s): Christopher Todd Obenchain
Arbitrator(s): Ralph L. Jacobson
Hearing Site: San Francisco, CA
| | |
| 11-00939 | 09/06/2012 | Claimant(s): Jay Ash
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors, Merrill Lynch Pierce Fenner & Smith Inc., Ronald Lavo
Respondent Lawyers(s): Spencer Persson
Arbitrator(s): Doris V. Knotter, Sally G. Williams, Deanna Margaret Veitia
Hearing Site: San Diego, CA
| | Expungement |
| 11-00906 | 08/27/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): William Cross
Respondent Lawyers(s): Frank Breese
Arbitrator(s): Arthur W. Pigott, Mark A. Myers, James E. Bolin
Hearing Site: Jackson, MS
| | |
| 11-01681 | 08/27/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Randall Fisher
Respondent Lawyers(s): Leonard J. Meyer
Arbitrator(s): Dennis S. Boxeur, Michael E. Nelson, Van R. Oliver
Hearing Site: Wichita, KS
| | |
| 11-04377 | 08/27/2012 | Claimant(s): Judith Myers
Claimant Lawyers(s): Judith A. Myers
Respondent(s): Wells Fargo Advisors, Susan Robak
Respondent Lawyers(s): Rhonda A. Wilson
Arbitrator(s): George A. Abbott
Hearing Site: Omaha, NE
| | $163 |
| 11-03290 | 08/24/2012 | Claimant(s): Derrell Jones, Jane Jones, Derrell A. Jones Trust
Claimant Lawyers(s): Pat Huddleston
Respondent(s): Wells Fargo Advisors, Steven Baker
Respondent Lawyers(s): Keith J. Barnett
Arbitrator(s): Robert N. Leitch, David E. Morris, Richard Jonathan Nikonovich-Kahn
Hearing Site: Atlanta, GA
| | Stipulated Award and Expungement |
| 12-00517 | 08/23/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jason Warner
Respondent(s): John Bostaph
Respondent Lawyers(s): John Edward Bostaph
Arbitrator(s): Cheryl R. Kershner
Hearing Site: San Francisco, CA
| | |
| 12-00406 | 08/17/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): William P. Wallenstein
Respondent(s): Cary Rosenfeld
Respondent Lawyers(s): Cary Rosenfeld
Arbitrator(s): Walter S. Weiss
Hearing Site: Los Angeles, CA
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