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FINRA Awards for Wells Fargo Advisors

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Displaying 151-160 out of 571 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0054010/21/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kirstin E. Muller
Respondent(s): Wedbush Securities Inc., Michael Hornkohl, Robert Brown
Respondent Lawyers(s): John Stenson
Arbitrator(s): David J. Romanski, Vincent J. Natoli, Michael M. Hachigian
Hearing Site: Los Angeles, CA
14-0185410/15/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Joshua F. Bugos
Respondent(s): Eric Erickson
Respondent Lawyers(s): Eric John Erickson
Arbitrator(s): Thomas L. Dueber
Hearing Site: Denver, CO
14-0276810/05/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Besart Morina
Respondent Lawyers(s): Jay T. Jambeck
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
15-0039210/05/2015Claimant(s): Michael Magruder
Claimant Lawyers(s): David E. Robbins
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Ann Blaess Kimball, Stephen Ronald Crissey, Eric Ross Cromartie
Hearing Site: Dallas, TX
13-0125309/24/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Hilary O'Malley
Respondent Lawyers(s): Hilary O'Malley
Arbitrator(s): Thomas C. Tretter
Hearing Site: Boston, MA
14-0187909/14/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Angela A. Turiano
Respondent(s): Thomas Buckley
Respondent Lawyers(s): Thomas Buckley
Arbitrator(s): Mary L. Merkle, Madelyn A. Levy, Linda Ashley
Hearing Site: New York, NY
14-0338508/17/2015Claimant(s): Michele Kief
Claimant Lawyers(s): Kathy M. Klock
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Gloria O. North
Hearing Site: Boca Raton, FL
15-0058808/12/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Demian J. Betz
Respondent(s): Brian Peters
Respondent Lawyers(s): Brian David Peters
Arbitrator(s): Donald B. Vaden
Hearing Site: Charlotte, NC
14-0131208/11/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sandra D. Grannum
Respondent(s): Nick Hsieh
Respondent Lawyers(s): Thomas J. McCabe
Arbitrator(s): Richard W. Cutler, Michele S. Riley, Mark J. Happe
Hearing Site: New York, NY
15-0068308/11/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Steven Satter
Respondent(s): Kenneth Comstock
Respondent Lawyers(s): Kenneth Alan Comstock
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX

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