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FINRA Awards for Wells Fargo Advisors

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Displaying 251-260 out of 571 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0422504/23/2014Claimant(s): Armando Palomino
Claimant Lawyers(s): Amiel L. Wade
Respondent(s): Wells Fargo Advisors, Mark Nance, Rebecca Emanuel, Wells Fargo Bank
Respondent Lawyers(s): Eric M. Steinert
Arbitrator(s): Herb Schwartz, Juleanne A. Thiebaut, Jonathan H. Krotinger
Hearing Site: San Francisco, CA
13-0258204/23/2014Claimant(s): Susan Poller-Newman
Claimant Lawyers(s): Christopher C. Coss
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
12-0406004/21/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Bill Callis
Respondent Lawyers(s): Kenneth A. Zimmern
Arbitrator(s): James M. Tipton, William D. Connally, Philip I. McConnell
Hearing Site: Dallas, TX
13-0193604/21/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Mimi B. Osiason
Hearing Site: Tampa, FL
13-0274804/17/2014Claimant(s): Kenneth Smith
Claimant Lawyers(s): Mark S. Gregory
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
13-0150904/15/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): R. Rhett Owens
Respondent(s): Frank Quartararo
Respondent Lawyers(s): Frank Anthony Quartararo
Arbitrator(s): R. Van Young
Hearing Site: Atlanta, GA
13-0241404/15/2014Claimant(s): Steliana Torres
Claimant Lawyers(s): Steliana Torres
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Steven A. Siegel
Arbitrator(s): Darryl C. Wilson
Hearing Site: Tampa, FL
12-0326504/11/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Megan M. Christensen
Respondent(s): Adam Gurien
Respondent Lawyers(s): Andrew R. Macklin
Arbitrator(s): Linda J. Baer, Veronica Ann Williams, Zung T. Nguyen
Hearing Site: Newark, NJ
11-0292204/07/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Elliott David Finkel
Hearing Site: Los Angeles, CA
13-0240004/04/2014Claimant(s): James Joseph
Claimant Lawyers(s): James J. Joseph
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nisha Wright
Arbitrator(s): Gary M. Landau
Hearing Site: Boca Raton, FL

571 Results

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