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FINRA Awards for Wells Fargo Advisors

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Displaying 221-230 out of 571 results
Case Number Award Date Case Summary Customer Case? Amount Granted
13-0258309/23/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Craig Stein
Respondent(s): Peter Mason
Respondent Lawyers(s): Peter Owen Mason
Arbitrator(s): Alfred Brunette
Hearing Site: Tampa, FL
13-0276209/08/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Blake L. Daniels
Respondent(s): James Price
Respondent Lawyers(s): James Trent Price
Arbitrator(s): Robert S. Zuckerman
Hearing Site: Raleigh, NC
13-0042508/29/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Keith Barnett
Respondent(s): Hyung Cheoun
Respondent Lawyers(s): Hyung Sik Cheoun
Arbitrator(s): Chandler R Bridges
Hearing Site: Atlanta, GA
13-0166408/27/2014Claimant(s): Noriel Campos
Claimant Lawyers(s): Ryan T. Dunn
Respondent(s): Beth Kirkland, Wells Fargo Advisors, George Von Zedlitz, Kevin Kitchin, Wilton Owyang
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Sheldon Michaels, Clifford A. Threlkeld, John Burritt McArthur
Hearing Site: San Francisco, CA
13-0231608/27/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jared C. Fields
Respondent(s): Kyle Sutton
Respondent Lawyers(s): Kyle Arthur Sutton
Arbitrator(s): Philip H. Marmurowski
Hearing Site: Salt Lake City, UT
12-0151708/19/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jennifer R. O'Shea
Respondent(s): James Konaxis
Respondent Lawyers(s): James John Konaxis
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
14-0016108/12/2014Claimant(s): Teresa Harmon
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Annette Gres Shepherd
Hearing Site: Los Angeles, CA
13-0076508/06/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Jimmy Stroud
Respondent Lawyers(s): Jimmy Clayton Stroud
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
12-0186908/05/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Harry D. Frisch
Respondent(s): Keith Sequeira
Respondent Lawyers(s): Keith Patrick Sequeira
Arbitrator(s): Thomas J. Hanrahan, Sam Antar, Bryan David Glass
Hearing Site: Newark, NJ
14-0017207/31/2014Claimant(s): Teresa Harmon
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA

571 Results

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