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FINRA Awards for Wells Fargo Advisors

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Displaying 211-220 out of 571 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0088211/06/2014Claimant(s): Robert Friedman
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): J. Burke McCormick
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Philadelphia, PA
13-0155610/27/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Keith J Barnett
Respondent(s): George Claussen
Respondent Lawyers(s): James S. V. Weston
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
13-0001110/22/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
13-0143810/21/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Christopher Bleuher
Respondent Lawyers(s): Catherine L. Rhodes
Arbitrator(s): Edward J. Costello, William E. Winfield, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
13-0262910/13/2014Claimant(s): Robert Tarlowe, Stuart Tarlowe
Claimant Lawyers(s): Robert Lewis Tarlowe, Stuart Alan Tarlowe
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Willard Knox
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
14-0178110/09/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex M. Komoroski
Respondent(s): Jeffrey Whitaker
Respondent Lawyers(s): Jeffrey Lee Whitaker
Arbitrator(s): Peter B. Vaden
Hearing Site: Norfolk, VA
13-0228110/08/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory Tendrich
Respondent(s): James Tully
Respondent Lawyers(s): James Tully
Arbitrator(s): Mark R. Topper
Hearing Site: Orlando, FL
12-0397610/02/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Daniel Curkan
Respondent Lawyers(s): John R. Kiefner
Arbitrator(s): Colleen Grace, Sharon Lee Chernin, Richard Kennard Hurley
Hearing Site: Tampa, FL
13-0189509/24/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Evan Sall
Respondent Lawyers(s): Michael Kalmus
Arbitrator(s): David E. Robbins, Howard L. Sobel, Carole R. Bernstein
Hearing Site: New York, NY
13-0296309/24/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Benjamin W. White
Respondent(s): Seng Heuansavath
Respondent Lawyers(s): Seng Nuna Heuansavath
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA

571 Results

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