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FINRA Awards for Wells Fargo Advisors

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Displaying 341-350 out of 571 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0436506/13/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Gregory Andrews
Respondent Lawyers(s): Gregory A. Andrews
Arbitrator(s): Caryl S. Bernstein
Hearing Site: Washington, DC
12-0200806/04/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Don Boswell
Respondent(s): Michael Brown
Respondent Lawyers(s): Joshua A. Katz
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
12-0310106/03/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Beverly Jo Slaughter
Respondent(s): Robert Davis
Respondent Lawyers(s): Marc J. Fratter
Arbitrator(s): Edward J. Lynch
Hearing Site: Dallas, TX
12-0399905/20/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Evaldo Guillama
Respondent Lawyers(s): Carlos H. Gamez
Arbitrator(s): Richard S. Zaifert, Kimberly A. Gilmour
Hearing Site: Miami, FL
11-0067705/17/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Zak Shapiro
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): John E. Ohashi, W. Alex King, Erich Daniel Schiefelbine
Hearing Site: Los Angeles, CA
12-0408605/16/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Scott Rahn
Respondent Lawyers(s): James A. McPhee
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
12-0102305/10/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Jocelyn Sears
Respondent Lawyers(s): Katherine T. Mize
Arbitrator(s): John A. Davis, Jack Chapline Vaughan, Brian James Tagtmeier
Hearing Site: Houston, TX
11-0147605/08/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Megan M. Christensen
Respondent(s): Michael Boylan
Respondent Lawyers(s): Michael Boylan
Arbitrator(s): Charles L. Henderson, Howard L. Sobel, Veera V. Konka
Hearing Site: New York, NY
12-0359205/07/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex M. Komoroski
Respondent(s): David Ouderkirk
Respondent Lawyers(s): David Dean Ouderkirk
Arbitrator(s): Robert G. Scott
Hearing Site: Wichita, KS
12-0368105/06/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Keara K. Roethke
Respondent(s): Craig Buhr
Respondent Lawyers(s): Craig Joseph Buhr
Arbitrator(s): Philip I. McConnell
Hearing Site: Houston, TX

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