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FINRA Awards for Wells Fargo Advisors

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Displaying 371-380 out of 571 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0058911/28/2012Claimant(s): Steven Hirschfeld
Claimant Lawyers(s): Steven C. Hirschfeld
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Christian J. Rowley
Arbitrator(s): Steven Meyrich, Otto K. Hilbert, Knute Arthur Rife
Hearing Site: Salt Lake City, UT
12-0244911/21/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Steven Satter
Respondent(s): Helen Devito
Respondent Lawyers(s): Helen Marie Devito
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
11-0003711/20/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan Levine
Respondent(s): Susan Monahan
Respondent Lawyers(s): Mellany Marquez-Kelly
Arbitrator(s): Paul W. Sterman
Hearing Site: Boca Raton, FL
11-0325911/19/2012Claimant(s): Robert Slovinsky
Claimant Lawyers(s): Joseph A. Vallo
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Brent J. Burtin
Arbitrator(s): Robert J. Kheel, Raymond J. Cullen, Laura Carraher
Hearing Site: New York, NY
Expungement
12-0143711/19/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Don R. Boswell
Respondent(s): Charles Pfeiffer
Respondent Lawyers(s): Charles Pfeiffer
Arbitrator(s): Gary M. Landau
Hearing Site: Boca Raton, FL
12-0050111/14/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Deron Kartoon
Respondent Lawyers(s): Deron A. Kartoon
Arbitrator(s): Peter H. Daly
Hearing Site: San Francisco, CA
12-0174511/14/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jason Warner
Respondent(s): Gregg Strongin
Respondent Lawyers(s): Gregg Elliott Strongin
Arbitrator(s): William J. Hirsch
Hearing Site: Philadelphia, PA
12-0072611/13/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Alison Janke
Respondent Lawyers(s): Alison Janke
Arbitrator(s): Carole M. Crosby
Hearing Site: Tampa, FL
12-0143811/09/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Don Boswell
Respondent(s): Benjamin Graham
Respondent Lawyers(s): Benjamin Graham
Arbitrator(s): Karl A. Vogeler
Hearing Site: Tampa, FL
12-0180511/09/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Michael Mangrum
Respondent Lawyers(s): Michael Frederick Mangrum
Arbitrator(s): Mary Elizabeth Skelnik
Hearing Site: Dallas, TX

571 Results

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