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FINRA Awards for Wells Fargo Advisors

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Displaying 451-460 out of 571 results
Case Number Award Date Case Summary Customer Case? Amount Granted
11-0038909/19/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Nicholas Innerbichler
Respondent Lawyers(s): Nicholas D. Innerbichler
Arbitrator(s): David Paul Clark
Hearing Site: Baltimore, MD
10-0210909/13/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Susan Steckler
Respondent Lawyers(s): Susan Nell Rowe
Arbitrator(s): Keith E. Mattern
Hearing Site: St. Louis, MO
11-0070009/13/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Donald R. Littlefield
Respondent(s): Kamran Nezami
Respondent Lawyers(s): Aaron G. Ries
Arbitrator(s): Mark A. Myers
Hearing Site: Houston, TX
11-0017009/02/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Anna Clark
Respondent Lawyers(s): Anna Maria Clark
Arbitrator(s): Mark S. Priver
Hearing Site: Phoenix, AZ
10-0520708/30/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): James Van Dyke
Respondent(s): Michael Leake
Respondent Lawyers(s): Bryce H. Bennett
Arbitrator(s): James L. Karpen
Hearing Site: Detroit, MI
11-0181008/29/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): James Van Dyke
Respondent(s): James Herrick
Respondent Lawyers(s): Kraig H. Koach
Arbitrator(s): Mimi B. Osiason
Hearing Site: Tampa, FL
11-0140108/25/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Warren Weems, III
Respondent Lawyers(s): Warren Alfred Weems, III
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
11-0022208/16/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Gary Brown
Respondent Lawyers(s): Gary J. Brown
Arbitrator(s): Harry B. Endsley
Hearing Site: San Francisco, CA
09-0614408/09/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Stephen Lowther
Respondent Lawyers(s): Stephen W. Lowther
Arbitrator(s): Harris E. Bunkin, Russell W. Merriman, Thomas G. Moore
Hearing Site: Tampa, FL
11-0015108/04/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Thomas Jones
Respondent Lawyers(s): Thomas Marshall Jones
Arbitrator(s): Robert H. Putnam
Hearing Site: Houston, TX

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