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FINRA Awards for Wells Fargo Advisors

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Displaying 161-170 out of 571 results
Case Number Award Date Case Summary Customer Case? Amount Granted
13-0246608/06/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Timothy Miller
Respondent Lawyers(s): Joseph R. West
Arbitrator(s): Peter Edward Sheridan
Hearing Site: Philadelphia, PA
15-0021707/27/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Judy Louie
Respondent(s): Matthew Harrison
Respondent Lawyers(s): Steven R. Rensch
Arbitrator(s): Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
15-0049507/15/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex M. Komoroski
Respondent(s): Dmitry Borochin
Respondent Lawyers(s): Dmitry Borochin
Arbitrator(s): Jeffrey G. Sommers
Hearing Site: New York, NY
15-0044906/25/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas F. Kopshever
Respondent(s): Pil Hwang
Respondent Lawyers(s): Pil Sang Hwang
Arbitrator(s): Katherine Hendricks
Hearing Site: Portland, OR
13-0086506/23/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Benjamin W. White
Respondent(s): Daniel Cairns
Respondent Lawyers(s): Montgomery G. Griffin
Arbitrator(s): Homer L. Davis, Val D. Hornstein, Arocles Aguilar
Hearing Site: San Francisco, CA
13-0371606/16/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Andrew Spivey
Respondent Lawyers(s): Andrew G. Spivey
Arbitrator(s): Herb Schwartz, Gary A. Hooker, Susan J. Alexander
Hearing Site: San Francisco, CA
15-0045706/16/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex M. Komoroski
Respondent(s): Steven Colvin
Respondent Lawyers(s): Steven Lloyd Colvin
Arbitrator(s): Robert M. Stein
Hearing Site: Seattle, WA
14-0138006/05/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alan S. Rafterman
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Tom L. Peterson
Hearing Site: Boston, MA
14-0033106/03/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory Tendrich
Respondent(s): Dennis Merritt
Respondent Lawyers(s): Stephany McLaughlin
Arbitrator(s): Benjamin E. Fisher, Jack W. Windt, Gerald F. Gude
Hearing Site: Tampa, FL
14-0242705/14/2015Claimant(s): Scott Goodkind
Claimant Lawyers(s): Craig D Stein
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph L. Bernstein, Bruce K. Isenberg, Gustavus L. Pearthree
Hearing Site: Boca Raton, FL

571 Results

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