| 17-03013 | 11/09/2021 | Claimant(s): Laurie Diamond
Claimant Lawyers(s): Laurie E. Diamond
Respondent(s): Morgan Stanley, Wells Fargo Advisors, Jeffrey Van Demark
Respondent Lawyers(s): Andrew R. Park, Irisa Chen, Patricia E. Cowart
Arbitrator(s): Pamela H Roderick, Camille S. Cooper, Michael S. Perinelli
Hearing Site: New York, NY
|  | Expungement |
| 20-04159 | 10/15/2021 | Claimant(s): Glen Simmonds
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Michael P. Schiff, Paul J. Burkhart, James Michael LaBonte
Hearing Site: Boca Raton, FL
| | |
| 19-01906 | 09/30/2021 | Claimant(s): Marcia Botsford
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Jacquelyn M. Shannon, Karl A. Vogeler, Michael I. Rauchway
Hearing Site: Tampa, FL
| | Expungement |
| 20-03037 | 05/19/2021 | Claimant(s): Peter Nicoletti
Claimant Lawyers(s): Jonathan C. Schwartz
Respondent(s): Morgan Stanley & Co., Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart, Trae D. Meyr
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
| | |
| 20-01453 | 12/15/2020 | Claimant(s): Christopher Facka
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | |
| 19-03841 | 12/08/2020 | Claimant(s): Alex Muscati
Claimant Lawyers(s): Kurt T. Kalberer
Respondent(s): Prudential Equity Group, Morgan Stanley, Wachovia Securities, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Anthony Paduano, Christopher M. Sacco, Joelle A. Simms, Patricia E. Cowart
Arbitrator(s): Mimi B. Osiason
Hearing Site: Tampa, FL
| | |
| 20-00423 | 09/23/2020 | Claimant(s): Sylvester Knox
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Union Brokerage Services.
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Louis H Miron
Hearing Site: Newark, NJ
| | |
| 20-00685 | 08/20/2020 | Claimant(s): James Pillow
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Bernard Hornick, Stuart K. Furman, John Winslow Griesser
Hearing Site: Orlando, FL
| | |
| 19-03699 | 05/28/2020 | Claimant(s): Keith Kepley
Claimant Lawyers(s): Russ Ferguson
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Patricia H. Latham
Hearing Site: Charlotte, NC
| | |
| 19-02436 | 01/30/2020 | Claimant(s): Christopher Roman
Claimant Lawyers(s): Kathy M. Klock
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Maurice M. Feller
Hearing Site: Tampa, FL
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