15-02425 | 05/04/2018 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Lisa S. Fildes Respondent(s): Alice Bates, James Johnson, Jeffrey Hughes, Robert Samson, Tyson Ray, William Finke Respondent Lawyers(s): Lisa S. Fildes, Matthew B. Baum, William George Finke Arbitrator(s): Langfred W. White, Gregory D. Hoffmann, James Arthur Taylor Hearing Site: Tampa, FL
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13-03508 | 04/28/2015 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Lisa S. Fildes Respondent(s): Theodore Cavaliere Respondent Lawyers(s): Arthur C. Koski Arbitrator(s): Mimi B. Osiason Hearing Site: Tampa, FL
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12-00605 | 10/11/2013 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Lisa S. Fildes Respondent(s): Ramin Hashemi Respondent Lawyers(s): Ramin Hashemi Arbitrator(s): Robert E. Thompson Hearing Site: San Francisco, CA
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11-04468 | 05/16/2013 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Lisa S. Fildes Respondent(s): Michael Malvin Respondent Lawyers(s): Michael Adam Malvin Arbitrator(s): Kevin K. Forrester Hearing Site: San Diego, CA
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11-04216 | 04/17/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Lisa S. Fildes Respondent(s): Christopher Hickman Respondent Lawyers(s): Mark Hanna Arbitrator(s): David P. Slater Hearing Site: Boca Raton, FL
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12-00501 | 11/14/2012 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Lisa S. Fildes Respondent(s): Deron Kartoon Respondent Lawyers(s): Deron A. Kartoon Arbitrator(s): Peter H. Daly Hearing Site: San Francisco, CA
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08-03388 | 10/30/2012 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Lisa S. Fildes Respondent(s): Dermot Durnin Respondent Lawyers(s): Dermot Durnin Arbitrator(s): Douglas E. DeTata, Laurel Littman Gothelf, Thomas D. Reese Hearing Site: San Francisco, CA
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12-00606 | 10/12/2012 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Lisa S. Fildes Respondent(s): Mera Tawfik-Oshana Respondent Lawyers(s): Richard D. Schramm Arbitrator(s): Peter H. Daly Hearing Site: San Francisco, CA
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08-01743 | 08/28/2012 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Lisa S. Fildes Respondent(s): Dean Howard Respondent Lawyers(s): Mark T. Butler Arbitrator(s): Larry C. Kreul, John Thomas Sepp, Thomas L. Imbrunone Hearing Site: Detroit, MI
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11-03467 | 04/17/2012 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Lisa S. Fildes Respondent(s): James Yarbrough Respondent Lawyers(s): James Yarbrough Arbitrator(s): Jack W. Windt Hearing Site: Tampa, FL
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