FINRA Awards for Wells Fargo Advisors Financial Network

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Displaying 41-46 out of 46 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
14-00065	08/20/2014	Claimant(s): Richard Nickerson Claimant Lawyers(s): B. David Jarashow Respondent(s): Wells Fargo Advisors Financial Network, Roman Leniw Respondent Lawyers(s): Beverly Jo Slaughter Arbitrator(s): S. Charles Tabak Hearing Site: Newark, NJ		$0
13-01355	12/20/2013	Claimant(s): Nadia Bacon f/k/a Nadi Youssef Claimant Lawyers(s): Nadia Youssef Respondent(s): Wells Fargo Advisors Financial Network, Fifth Third Securities. Respondent Lawyers(s): Deirdre Wolff, Peter J. Stautberg Arbitrator(s): Nancy J. Spieczny Hearing Site: San Diego, CA		$3,524
13-01254	12/06/2013	Claimant(s): Benjamin C. Ritter Jr and Nina Ritter JT Claimant Lawyers(s): John L. Allen Respondent(s): Anne Gagnon, Wells Fargo Securities Inc., Wells Fargo Advisors Financial Network, Wells Fargo Advisors, David Rosenberg, Wells Fargo Securities Respondent Lawyers(s): Nuviah Shirazi Arbitrator(s): Robert E. Anderson, Joseph I. Liebman, Ronald J. Colombo Hearing Site: New York, NY		Expungement
11-01815	09/12/2012	Claimant(s): Doug Siegel, Teri Siegel, Terri Siegel IRA Claimant Lawyers(s): Keith L. Griffin Respondent(s): Wells Fargo Advisors Financial Network Respondent Lawyers(s): Benjamin J. Biard Arbitrator(s): Joseph V. Simeri, Robert David Epstein, William Gibson Heller Hearing Site: Indianapolis, IN		$8,500
10-02756	04/23/2012	Claimant(s): SIG Real Estate Holdings. Claimant Lawyers(s): Steven D. Toskes Respondent(s): Wells Fargo Advisors Financial Network Respondent Lawyers(s): Benjamin J. Biard Arbitrator(s): William F. Glaser, Nicholas G. Dukas, Oliver J. Janney Hearing Site: Tampa, FL		Expungement
10-03166	09/27/2011	Claimant(s): The Estate of Ruth T. Speight Claimant Lawyers(s): Johanna S. Fowler Respondent(s): Wachovia Securities Financial Network, Wells Fargo Advisors Financial Network, Stephen Thomas, Linden Thomas & Co. Respondent Lawyers(s): Benjamin J. Biard Arbitrator(s): William W. Marchant, Lynne T. Albert, Rudolph Andrew Bata Hearing Site: Charlotte, NC		Expungement