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FINRA Awards for Wells Fargo Advisors

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Displaying 441-450 out of 571 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0516011/18/2011Claimant(s): Hang Bui
Claimant Lawyers(s): Walter Birkel
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): David E. Strand
Arbitrator(s): Joan M. Traub, Daniel P. Lund, Michael L.B. Kaplan
Hearing Site: Newark, NJ
11-0036711/16/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Thomas Osborn
Respondent Lawyers(s): Thomas Preston Osborn
Arbitrator(s): Phillip Barry Wise, Allen D. Schwartz, Enrico A. Mazzoli
Hearing Site: Louisville, KY
10-0027411/08/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mary Jo Cantu
Respondent(s): Allen Isenberg
Respondent Lawyers(s): Allen R. Isenberg
Arbitrator(s): Mark A. Myers
Hearing Site: Dallas, TX
11-0242811/04/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): Irene Maxwell
Respondent Lawyers(s): Irene Faye Maxwell
Arbitrator(s): F. Conger Fawcett
Hearing Site: San Francisco, CA
11-0181111/01/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica G. Klein
Respondent(s): John Monaghan
Respondent Lawyers(s): Al Van Kampen
Arbitrator(s): Lawrence E. Little
Hearing Site: Seattle, WA
09-0605710/31/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): Joseph Wagner
Respondent Lawyers(s): Thomas P Silis
Arbitrator(s): C. Gregory Ellison, Edward Houry, Stephan Paul Carrier
Hearing Site: Washington, DC
10-0116310/27/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Luis Lopez
Respondent Lawyers(s): Brian Buckstein
Arbitrator(s): Gary M. Landau, Andrew David Kahng, Renaldy Jose Gutierrez
Hearing Site: Miami, FL
10-0389010/21/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Andrew Quinn
Respondent Lawyers(s): Stephen H. Osborne
Arbitrator(s): Paul E. Dahlman
Hearing Site: Reno, NV
11-0181910/19/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica G. Klein
Respondent(s): Jeffrey Tock
Respondent Lawyers(s): Jeffrey Scott Tock
Arbitrator(s): Frank C. Fogl
Hearing Site: Cleveland, OH
10-0493810/05/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Aaron Hansz
Respondent Lawyers(s): Thomas A. Adams
Arbitrator(s): Mark C. Watler
Hearing Site: Houston, TX

571 Results

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