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FINRA Awards for Wells Fargo Investments

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Displaying 11-20 out of 75 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0143611/27/2020Claimant(s): Elliot Ichinose
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Judy Louie
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
20-0090510/29/2020Claimant(s): George Harrison
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Kenneth James Pedersen
Hearing Site: Seattle, WA
19-0219103/16/2020Claimant(s): David Sipe
Claimant Lawyers(s): Frances Menzer
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
19-0029310/22/2019Claimant(s): Stephen Seewer
Claimant Lawyers(s): Michael Bessette
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Geoffrey S. Beckham
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
18-0179004/11/2019Claimant(s): Frank Auyeung
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Wells Fargo Clearing Services, Wells Fargo Investments, Banc of America Investment Services Inc.
Respondent Lawyers(s): Geoffrey S. Beckham, Randi Perry Spallina
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
18-0048110/02/2018Claimant(s): Mark Lazar
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Salt Lake City, UT
18-0078109/20/2018Claimant(s): Don Martin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
17-0327108/08/2018Claimant(s): Edward Montanez
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Erik R. Siering
Hearing Site: Las Vegas, NV
17-0314206/12/2018Claimant(s): Edward Montanez
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Las Vegas, NV
16-0045101/19/2018Claimant(s): Douglas Murrill
Claimant Lawyers(s): Kimberly Chavers
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Robert L. Rolnick, Allan R. Lazor, Kimberlee Kovach
Hearing Site: Houston, TX

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