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FINRA Awards for Wells Fargo Investments

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Displaying 71-75 out of 75 results
Case Number Award Date Case Summary Customer Case? Amount Granted
06-0392010/19/2007Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald S. Kravitz
Respondent(s): David Kauffman
Respondent Lawyers(s): Matthew G. English
Arbitrator(s): James D. Knotter, Katherine Jane Morris, Robert E. Witt
Hearing Site: San Diego, CA
07-0094110/19/2007Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): John Liu
Respondent Lawyers(s): John Young Liu
Arbitrator(s): Mary Ann Tunick
Hearing Site: Houston, TX
06-0318508/20/2007Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Elias Lopez-Hakimian
Respondent Lawyers(s): Daniel L. Hitzke
Arbitrator(s): Dennis A. Torres, Robert C. Albini, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
06-0203308/15/2007Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Eduardo Tejada
Respondent Lawyers(s): Eduardo M. Tejada
Arbitrator(s): George A. Sellnau, William R. Jonson, Edmund Herbert Hecht
Hearing Site: Houston, TX
06-0535408/14/2007Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Nelvine Ocampo
Respondent Lawyers(s): Irving M. Einhorn
Arbitrator(s): Richard J. Stall, Norman Cousins Sasamori, Randall N. Kirk
Hearing Site: Los Angeles, CA

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