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FINRA Awards for Wells Fargo Advisors

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Displaying 271-280 out of 571 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0044102/24/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Michael Hawkes
Respondent Lawyers(s): Melinda Jane Steuer
Arbitrator(s): Reed H. Bement, Jarrott T. Miller, Amy Seltzer
Hearing Site: San Francisco, CA
12-0347202/19/2014Claimant(s): John Triplett
Claimant Lawyers(s): Judith Braecklein
Respondent(s): Wells Fargo Advisors, David Hehn, Paul Alberini, Todd Williams
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Vaughn Thomas Hale, Gerald F. Corrigan, Edward Thomas Leech
Hearing Site: Las Vegas, NV
13-0095202/19/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Candy Taylor
Respondent Lawyers(s): Candy Taylor-Beck
Arbitrator(s): Bert P. Krages
Hearing Site: Boise, ID
12-0376302/12/2014Claimant(s): Laura Martin-Schwarzman
Claimant Lawyers(s): Ronald S. Platt
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kevin W. Shaughnessy
Arbitrator(s): Michael Todd Clements, John E. Sutton, Peter A. Portley
Hearing Site: Boca Raton, FL
13-0185302/11/2014Claimant(s): Ryan White
Claimant Lawyers(s): Ryan Arther White
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): John R. Loss
Hearing Site: St. Louis, MO
13-0191601/30/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory Tendrich
Respondent(s): Colleen Cowan
Respondent Lawyers(s): Michael D. Kennedy
Arbitrator(s): Monica I. Salis
Hearing Site: Miami, FL
12-0213101/28/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sandra D. Grannum
Respondent(s): Kevin Mercer
Respondent Lawyers(s): Kevin Mercer
Arbitrator(s): Mary Lou McGanney
Hearing Site: New York, NY
13-0062601/13/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jamie L. Helman
Respondent(s): Jamil Ahmed
Respondent Lawyers(s): Jamil Ahmed
Arbitrator(s): Mark Mendley
Hearing Site: New York, NY
13-0023601/07/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kevin J. Woods
Respondent(s): Marcos Madril
Respondent Lawyers(s): Marcos A. Madril
Arbitrator(s): I. Douglas Dunipace, Seymour A. Kolman, Jamie Lee Wicks
Hearing Site: Phoenix, AZ
13-0201201/07/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica Klein
Respondent(s): Walter Bernard
Respondent Lawyers(s): Walter Jeffrey Bernard
Arbitrator(s): Donita M. King
Hearing Site: Raleigh, NC

571 Results

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