| 19-01766 | 12/21/2021 | Claimant(s): Gail Higashi, Kevin Higashi
Claimant Lawyers(s): Lisa Anne Smith
Respondent(s): Wells Fargo Clearing Services, Ruth Transue
Respondent Lawyers(s): Matthew P. Fischer
Arbitrator(s): Jay Lawrence Witkin, David S. Eisenberg, Bryan Thomas Di Lella
Hearing Site: Phoenix, AZ
|  | $300 |
| 14-01650 | 08/31/2016 | Claimant(s): Donna Horwitz as Trustee of Alex and Hel, Donna Horwitz as Trustee of Helen M. Sol
Claimant Lawyers(s): David E. Wood
Respondent(s): Burt Derman, Wells Fargo Advisors
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Howard R. Gaines, Allan Levey, Bryan Thomas Di Lella
Hearing Site: Phoenix, AZ
| | Expungement |
| 14-02644 | 05/09/2016 | Claimant(s): Brock Lansdale, Jill Lansdale
Claimant Lawyers(s): Mark D. Chester
Respondent(s): Wells Fargo Advisors, Tim Haley
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Peter Kay, Marc Kalish, Bryan Thomas Di Lella
Hearing Site: Phoenix, AZ
| | $113,610 |
| 09-06164 | 12/23/2010 | Claimant(s): The Trust FBO Dorothy S. Hellyer
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Timothy Bass
Arbitrator(s): Jane C. Carney, Peter J. Pokorny, Bryan Thomas Di Lella
Hearing Site: Washington, DC
| | $300 |
| 09-00950 | 05/27/2010 | Claimant(s): Catalyst Health Solutions.
Claimant Lawyers(s): Bruce V. Spiva
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Albert D. Sturtevant, Michael H. McConihe, Bryan Thomas Di Lella
Hearing Site: Washington, DC
| | $9,750,000 |
