FINRA Awards for Wells Fargo Clearing Services

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 331-340 out of 371 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
17-03061	10/24/2018	Claimant(s): Allen Rosenberg Claimant Lawyers(s): Owen Harnett Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Diane Ciccone Hearing Site: Philadelphia, PA
18-00942	10/23/2018	Claimant(s): William Oliver Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Stephen P. Hoffman Hearing Site: Charlotte, NC
18-00697	10/19/2018	Claimant(s): Michael Sullivan Claimant Lawyers(s): Dochtor Kennedy Respondent(s): A. G. Edwards & Sons., Wells Fargo Clearing Services Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Frank M. Romano Hearing Site: Houston, TX
18-02264	10/12/2018	Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Matthew P. Fischer Respondent(s): John Nielsen Respondent Lawyers(s): John C. Nielsen Arbitrator(s): I. Douglas Dunipace Hearing Site: Phoenix, AZ
18-02086	10/10/2018	Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Jessica Klein Respondent(s): Faine Beckerman Respondent Lawyers(s): Faine Paula Beckerman Arbitrator(s): John P. Cullem Hearing Site: Tampa, FL
18-00453	10/05/2018	Claimant(s): Brian Nelson Claimant Lawyers(s): Mark Wilson Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Geoff Beckham Arbitrator(s): Stephany Adriene Watson Hearing Site: Portland, OR
17-02171	09/27/2018	Claimant(s): Evan Anish Claimant Lawyers(s): Evan Sean Anish Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Gregory L. Smith Arbitrator(s): Tina Scott Polsky, Sydney E. Blum, Robert G. Geeseman Hearing Site: Boca Raton, FL
17-03445	09/24/2018	Claimant(s): Thomas Sandkamp Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Judy Louie Arbitrator(s): Kendall C. Reed Hearing Site: Los Angeles, CA
18-00949	09/19/2018	Claimant(s): Anne Gagnon, David Rosenberg Claimant Lawyers(s): Mark S. Gregory Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Nuviah Shirazi Arbitrator(s): Howard L. Sobel Hearing Site: New York, NY
18-00034	09/13/2018	Claimant(s): Douglas Donnelly Claimant Lawyers(s): Michael Bessette Respondent(s): Prudential Equity Group, Wells Fargo Clearing Services Respondent Lawyers(s): Alan S. Brodherson, Matthew P. Fischer Arbitrator(s): Helen Marinak Blohm Hearing Site: Seattle, WA