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FINRA Awards for Wells Fargo Advisors

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Displaying 361-370 out of 571 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0144102/13/2013Claimant(s): Joseph Vaccaro
Claimant Lawyers(s): Ruthann G. Niosi
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Sam Antar, Arthur H. Sobel, Lester Scott Garfinkel
Hearing Site: New York, NY
12-0006801/31/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Avelino Cortina
Respondent Lawyers(s): Avelino Cortina
Arbitrator(s): Harvey C. Flodin, Guenter S. Cohn, Jo-Ann C. Little
Hearing Site: San Diego, CA
11-0191201/30/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Casey
Respondent Lawyers(s): Scott R. Shewan
Arbitrator(s): James C. Morrow
Hearing Site: Kansas City, MO
12-0074101/16/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Lee Yi
Respondent Lawyers(s): Lee J. Yi
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
09-0289701/11/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Brian Walsh, Stifel, Nicolaus & Co.., Kevin Healy
Respondent Lawyers(s): Andrew J. Shapren
Arbitrator(s): Martin Mushkin, Cheryl Feldman, Joseph R. Sahid
Hearing Site: New York, NY
12-0134712/26/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Megan Marmion Christensen
Respondent(s): Richard Modell
Respondent Lawyers(s): Richard David Modell
Arbitrator(s): William J. Hirsch
Hearing Site: Wilmington, DE
12-0291612/26/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Clinton Dunbar
Respondent Lawyers(s): Clinton Reece Dunbar
Arbitrator(s): Cheryl R. Kershner
Hearing Site: San Francisco, CA
12-0201012/20/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Don Boswell
Respondent(s): Christopher Hudson
Respondent Lawyers(s): Christopher G. Hudson
Arbitrator(s): Jack A. Helms
Hearing Site: Jacksonville, FL
12-0122011/30/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Brian L. Church
Respondent(s): Robert McMillan
Respondent Lawyers(s): Robert L. McMillan
Arbitrator(s): Bill Swinford
Hearing Site: Cincinnati, OH
12-0082711/29/2012Claimant(s): Carson Graves
Claimant Lawyers(s): Carson Graves
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Bill M. Lamoreaux, Robert E. Treadaway, Mayur Harshad Amin
Hearing Site: Dallas, TX

571 Results

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