| 10-04361 | 05/25/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Holdings, LL
Claimant Lawyers(s): Joe Gehring
Respondent(s): Wells Fargo Advisors, Douglas Carnahan, Lawrence King, Sandra Butler
Respondent Lawyers(s): James E. Heavey, Joe Gehring, Scott C. Paton
Arbitrator(s): Edward Baer, Roland M. Cavalier, Michael A. Orticelle
Hearing Site: Albany, NY
| | |
| 10-02590 | 05/24/2012 | Claimant(s): Helen Wald, Laureen Arena
Claimant Lawyers(s): Armand Salese
Respondent(s): Wells Fargo Advisors, Stephen Schneider
Respondent Lawyers(s): Jesse B. Simpson
Arbitrator(s): Joe S. Tarrer, Brian L Evans, Rickey Ray Pate
Hearing Site: Phoenix, AZ
|  | Expungement |
| 11-02505 | 05/24/2012 | Claimant(s): Barbara Roberts, Joe Roberts, Joe D. Roberts IRA
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Wells Fargo Advisors, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Colleen A. Hankins, Judy Louie
Arbitrator(s): Joseph C. Watson, Robert Allan Klein, Cynthia Ruth Saffir
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-01454 | 05/22/2012 | Claimant(s): Sharon Palas
Claimant Lawyers(s): Chad A. Snyder
Respondent(s): Bruce Lick, Wells Fargo Advisors, David Cooper
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Kathryn J. Hoy, Kathy A. Tatone, Frank Abramson
Hearing Site: Minneapolis, MN
| | $0 |
| 11-00723 | 05/21/2012 | Claimant(s): Dianna Crossman
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Wells Fargo Advisors, Cynthia Kines
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Cheryl E. Winton, Richard F. Lang, David Rich
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-04344 | 05/15/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Archie Capinguian
Respondent(s): Jonathan Brimley
Respondent Lawyers(s): Dennis M. Fitzgerald
Arbitrator(s): Alex H. Keller
Hearing Site: Columbus, OH
| | |
| 10-05616 | 05/15/2012 | Claimant(s): Susan Blickman
Claimant Lawyers(s): John Daniels
Respondent(s): Wells Fargo Advisors, John Compton
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Linda T. Pellegrino, Alan Shaw, Sandralin J. Kiss
Hearing Site: Newark, NJ
| | Expungement |
| 11-00720 | 05/14/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Mark Magnone
Respondent Lawyers(s): William A. Healy
Arbitrator(s): Peter B. Vaden, Laurence M. Scoville, William James Russell
Hearing Site: Norfolk, VA
| | |
| 11-01834 | 05/09/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica G. Klein
Respondent(s): Kyle Roulet
Respondent Lawyers(s): Kyle Daniel Roulet
Arbitrator(s): Douglas W. Oldfield
Hearing Site: San Francisco, CA
| | |
| 11-03107 | 05/02/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S Tendrich
Respondent(s): Kenneth Solis
Respondent Lawyers(s): Scott Silver
Arbitrator(s): Jacquelyn M. Shannon
Hearing Site: Tampa, FL
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