| 18-00697 | 10/19/2018 | Claimant(s): Michael Sullivan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons., Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Frank M. Romano
Hearing Site: Houston, TX
| | |
| 18-02264 | 10/12/2018 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Matthew P. Fischer
Respondent(s): John Nielsen
Respondent Lawyers(s): John C. Nielsen
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
| | |
| 18-02086 | 10/10/2018 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jessica Klein
Respondent(s): Faine Beckerman
Respondent Lawyers(s): Faine Paula Beckerman
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
| | |
| 15-02810 | 10/09/2018 | Claimant(s): Bonnie Faleschini, David Plimpton, Randy Reinke, Richard Faleschini, Sally Redding, Susan Plimpton, Tim Redding
Claimant Lawyers(s): Steven J. Weintraut
Respondent(s): Charles Zajicek, Christopher Most, Wachovia Securities, Wells Fargo Advisors, Wells Fargo Clearing Services
Respondent Lawyers(s): Miriam G. Bahcall
Arbitrator(s): Steven R. Christensen, Michael F. Jordan, Steven M. Bialick
Hearing Site: Minneapolis, MN
|  | $430,000 |
| 18-00453 | 10/05/2018 | Claimant(s): Brian Nelson
Claimant Lawyers(s): Mark Wilson
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Stephany Adriene Watson
Hearing Site: Portland, OR
| | |
| 17-02171 | 09/27/2018 | Claimant(s): Evan Anish
Claimant Lawyers(s): Evan Sean Anish
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Gregory L. Smith
Arbitrator(s): Tina Scott Polsky, Sydney E. Blum, Robert G. Geeseman
Hearing Site: Boca Raton, FL
| | |
| 17-02377 | 09/26/2018 | Claimant(s): Keith Yun, Nancy Yun
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Judy Louie
Arbitrator(s): David J. Anderson, Arthur T. Berggren, Michael M. Hachigian
Hearing Site: Los Angeles, CA
| | Expungement |
| 17-03445 | 09/24/2018 | Claimant(s): Thomas Sandkamp
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
| | |
| 18-00949 | 09/19/2018 | Claimant(s): Anne Gagnon, David Rosenberg
Claimant Lawyers(s): Mark S. Gregory
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | |
| 18-00034 | 09/13/2018 | Claimant(s): Douglas Donnelly
Claimant Lawyers(s): Michael Bessette
Respondent(s): Prudential Equity Group, Wells Fargo Clearing Services
Respondent Lawyers(s): Alan S. Brodherson, Matthew P. Fischer
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Seattle, WA
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