24-01436 | 09/30/2024 | Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Sara Soto Respondent(s): Kevin Newmuis Respondent Lawyers(s): Kevin Darnell Newmuis Arbitrator(s): Gregory Hunter Mathews Hearing Site: Philadelphia, PA
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23-01170 | 09/26/2024 | Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Keith J. Barnett Respondent(s): Wade Roberts Respondent Lawyers(s): William R. Carlisle Arbitrator(s): George Pinckney Shingler Hearing Site: Atlanta, GA
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24-00056 | 09/12/2024 | Claimant(s): Ronnie Lee Rozier Claimant Lawyers(s): Ronnie L. Rozier Respondent(s): Aubrey Parker, Wells Fargo Clearing Services, Rick Kent Respondent Lawyers(s): Deirdre C. Wolff, Luis F. Mendez Arbitrator(s): Robert H. Putnam, Andy W. Morgan, Sherri Lynne Kimmell Hearing Site: Atlanta, GA
| | Dismissed by Rule 12504 and 12206 |
22-01852 | 09/04/2024 | Claimant(s): Yousef Bhatti Claimant Lawyers(s): Wilmer D. Masterson Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Donald R. Littlefield Arbitrator(s): Eric Ross Cromartie, Dianne Connally Betts, Michelle Prudhomme-Coleman Hearing Site: Dallas, TX
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23-03384 | 09/03/2024 | Claimant(s): Kenneth Grover Claimant Lawyers(s): Daniel D'Costa Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services, Wells Fargo Securities Respondent Lawyers(s): Sara Soto Arbitrator(s): Paul E. Dahlman, Eric Gad Forster, Richard Mathew Greenspan Hearing Site: Salt Lake City, UT
| | $0 |
23-02860 | 08/30/2024 | Claimant(s): Paul Padovani Claimant Lawyers(s): Irwin Weltz Respondent(s): Morgan Stanley, Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Christopher M. Sacco, Kathryn D. Perreault, Trae D. Meyr Arbitrator(s): Linda J. Baer Hearing Site: New York, NY
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24-01079 | 08/23/2024 | Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Frank J. Cuccio Respondent(s): Anthony Tassone Respondent Lawyers(s): Anthony M. Tassone Arbitrator(s): Thomas M. Madden Hearing Site: Hartford, CT
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23-02724 | 08/22/2024 | Claimant(s): Paul Zoch Claimant Lawyers(s): Harris Freedman Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Jeffrey D. Rodgers Arbitrator(s): Nancy J. Cliff Hearing Site: Boca Raton, FL
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24-00367 | 08/22/2024 | Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Keith Barnett Respondent(s): Eric Hall Respondent Lawyers(s): Eric Kim Hall Arbitrator(s): Carl E. Ver Beek Hearing Site: Indianapolis, IN
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23-02850 | 08/07/2024 | Claimant(s): Neil Collins Claimant Lawyers(s): Brian Luther Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Deirdre C. Wolff Arbitrator(s): Jeffrey P. Petrucelly Hearing Site: Boston, MA
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