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FINRA Awards for Wells Fargo Advisors

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Displaying 401-410 out of 571 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0041506/01/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Eric Edson
Respondent Lawyers(s): Eric Edson
Arbitrator(s): Melinda G. Jayson
Hearing Site: Dallas, TX
10-0436105/25/2012Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Holdings, LL
Claimant Lawyers(s): Joe Gehring
Respondent(s): Wells Fargo Advisors, Douglas Carnahan, Lawrence King, Sandra Butler
Respondent Lawyers(s): James E. Heavey, Joe Gehring, Scott C. Paton
Arbitrator(s): Edward Baer, Roland M. Cavalier, Michael A. Orticelle
Hearing Site: Albany, NY
11-0434405/15/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Archie Capinguian
Respondent(s): Jonathan Brimley
Respondent Lawyers(s): Dennis M. Fitzgerald
Arbitrator(s): Alex H. Keller
Hearing Site: Columbus, OH
11-0072005/14/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Mark Magnone
Respondent Lawyers(s): William A. Healy
Arbitrator(s): Peter B. Vaden, Laurence M. Scoville, William James Russell
Hearing Site: Norfolk, VA
11-0183405/09/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica G. Klein
Respondent(s): Kyle Roulet
Respondent Lawyers(s): Kyle Daniel Roulet
Arbitrator(s): Douglas W. Oldfield
Hearing Site: San Francisco, CA
11-0310705/02/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S Tendrich
Respondent(s): Kenneth Solis
Respondent Lawyers(s): Scott Silver
Arbitrator(s): Jacquelyn M. Shannon
Hearing Site: Tampa, FL
11-0173204/27/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Aaron Redding
Respondent Lawyers(s): Aaron Redding
Arbitrator(s): Thomas D. Nagle
Hearing Site: Houston, TX
11-0434104/24/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Archie Capinguian
Respondent(s): Kenneth Koger
Respondent Lawyers(s): Kenneth Koger
Arbitrator(s): Lee H. Goodman
Hearing Site: Chicago, IL
11-0434704/24/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Archie Capinguian
Respondent(s): Patrick Mulvihill
Respondent Lawyers(s): Patrick Mulvihill
Arbitrator(s): Marvin I. Horowitz
Hearing Site: Detroit, MI
11-0165104/20/2012Claimant(s): Lawrence Ennis
Claimant Lawyers(s): Christopher C. Coss
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Simone A. Muscarnera
Hearing Site: Newark, NJ

571 Results

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