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FINRA Awards for Wells Fargo Advisors

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Displaying 351-360 out of 571 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0006905/02/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Jiraeyer Kharatian
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): Michael D. Harrison
Hearing Site: Los Angeles, CA
11-0090804/25/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Douglas Farr
Respondent Lawyers(s): Frank C. "Kim" Breese
Arbitrator(s): P. Drake Mann, Arthur W. Pigott, Eric Spencer Buchanan
Hearing Site: Jackson, MS
10-0127804/23/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Kit Jory
Respondent Lawyers(s): Kit P. Jory
Arbitrator(s): Carl B. Noelke, Laurel Littman Gothelf, Elmo E. Wedderburn
Hearing Site: San Francisco, CA
12-0209504/12/2013Claimant(s): Mark Robbins
Claimant Lawyers(s): Mark Robbins
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Christopher S. Griesmeyer
Arbitrator(s): Harvey C. Flodin
Hearing Site: San Diego, CA
10-0143304/04/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Kenneth Meyers
Respondent Lawyers(s): Stephen F. Boutin
Arbitrator(s): Mark S. Priver
Hearing Site: San Francisco, CA
11-0096304/04/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Marco Rivera
Respondent Lawyers(s): Christian Krankemann
Arbitrator(s): Frank R Weaver
Hearing Site: San Francisco, CA
12-0104403/25/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jason Warner
Respondent(s): Robert Potter
Respondent Lawyers(s): Sanna-Rae Taylor
Arbitrator(s): Joan M. Traub, Richard J. Lawrence, James Wilmer Barlow
Hearing Site: Salt Lake City, UT
12-0320803/14/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Donald Treloar
Respondent Lawyers(s): Donald Thomas Treloar
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
12-0172603/05/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Archie Capinguian
Respondent(s): Charles Oakes
Respondent Lawyers(s): Kent H. Patterson
Arbitrator(s): Paul J. Greco
Hearing Site: Philadelphia, PA
09-0387702/15/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): David Neison
Respondent Lawyers(s): David C. Neison
Arbitrator(s): Larry P. Larsen
Hearing Site: Louisville, KY

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