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FINRA Awards for W. Steven Adams

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0342312/23/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Craig Stein
Respondent(s): Gustavo Caballero
Respondent Lawyers(s): W. Steven Adams
Arbitrator(s): Charles Hoffman, Dorota J. Trzeciecka, Sophia Ohanessian
Hearing Site: Miami, FL
09-0722805/29/2012Claimant(s): Enrique Pochat
Claimant Lawyers(s): W. Steven Adams
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Linda M. Granata, Bernard A. Becker, Leah Sherman
Hearing Site: Miami, FL

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