| 17-00352 | 05/14/2018 | Claimant(s): Clarence B. Mills 1991 Irrevocable Trust, William E. Mills 1991 Irrevocable Trust
Claimant Lawyers(s): Alan W. Duncan
Respondent(s): David Robinson, Wachovia Securities Financial Network, Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Richard S. Zaifert, Michele Ann Ledo, Theodore Haynes
Hearing Site: Raleigh, NC
|  | Expungement |
| 16-00282 | 05/16/2017 | Claimant(s): Howard Shapiro, Marcia Shapiro
Claimant Lawyers(s): David Edgar Bamberger
Respondent(s): Wachovia Securities Financial Network
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Stephen M. Gross, Mary Lou McGanney, William James Cortellessa
Hearing Site: New York, NY
| | Expungement |
| 14-02953 | 07/18/2016 | Claimant(s): Ann Oldfather, F/B/O Ann B. Oldfather, Oldfather & Morris Profit Sharing Plan
Claimant Lawyers(s): Robert S. Deskins
Respondent(s): Wachovia Securities Financial Network, Wells Fargo Advisors, Jill Bradley, Wachovia Securities, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Jeffrey M. Bain, Allan Weiss, Robert Laurence Astorino
Hearing Site: Louisville, KY
| | $181,757 |
| 15-00074 | 06/16/2016 | Claimant(s): Mark Schroeder
Claimant Lawyers(s): Chad C. Beaver
Respondent(s): Wachovia Securities Financial Network, Wells Fargo Advisors, Jeffrey Holloway, First Clearing, Sean Harman, Timothy Tadlock, Holloway and Harman Capital Management,
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph R. Soraghan, Michael D. Fitzgerald, Dennis Shrewsbury
Hearing Site: Kansas City, MO
| | $423,770 |
| 13-00138 | 08/25/2014 | Claimant(s): Alberts Trust of 1997 Trust
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wachovia Securities Financial Network
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Terry F. Peppard, James P. O'Donnell, Gerald J. Thain
Hearing Site: Milwaukee, WI
| | $195,000 |
| 14-00920 | 08/01/2014 | Claimant(s): Wachovia Securities Financial Network
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Rhonda Matthews
Respondent Lawyers(s): Rhonda J. Matthews
Arbitrator(s): Thomas D. Nagle
Hearing Site: Houston, TX
| | |
| 13-02746 | 07/10/2014 | Claimant(s): Wachovia Securities Financial Network
Claimant Lawyers(s): Jill Y. Coen
Respondent(s): Matthew Staten
Respondent Lawyers(s): Matthew Wade Staten
Arbitrator(s): W. Sean Kelleher
Hearing Site: Columbus, OH
| | |
| 11-03007 | 07/26/2012 | Claimant(s): Linda Baker, Thomas Baker
Claimant Lawyers(s): C. Maison Heidelberg, Ginny Y. Kennedy
Respondent(s): Wachovia Securities Financial Network, Wachovia Securities
Respondent Lawyers(s): David A. Picon, Erin Durba
Arbitrator(s): Robert D. Sussin, John E. Ohashi, Randall N. Kirk
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 11-01511 | 06/25/2012 | Claimant(s): John Kennedy
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wachovia Securities Financial Network
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Robert J. Kheel
Hearing Site: New York, NY
| | $0 |
| 10-05662 | 03/30/2012 | Claimant(s): Linda Stark
Claimant Lawyers(s): Linda A. Stark
Respondent(s): Charles Sleezer, Wachovia Securities Financial Network, Wells Fargo Advisors, Louis Siracusano, Robert Siracusano
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Howard Breindel, Dolores D. Balsamo, Paul Bennett Marrow
Hearing Site: New York, NY
| | $0 |
