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FINRA Awards for Wells Fargo Advisors

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Displaying 10 out of 396 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0220509/27/2023Claimant(s): Sidney Kruger Living Trust
Claimant Lawyers(s): Jonathan Noble David
Respondent(s): Wells Fargo Advisors, Mara Schainuck, Sharon Miller
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Seth L. Finkel, Sydney E. Blum, Mark A Bilawsky
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
19-0095302/08/2023Claimant(s): Ann Goldberg, Marc Goldberg
Claimant Lawyers(s): Gary Menzer
Respondent(s): Corey Engelhard, Wells Fargo Advisors
Respondent Lawyers(s): Christopher M. Sacco, Paul Yarns
Arbitrator(s): Monroe Mitchel
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
20-0253505/26/2022Claimant(s): Anthony Lombard
Claimant Lawyers(s): Anthony P. Monzo
Respondent(s): James Schultz, Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): George Forest Bingham, Gordon M. Wase, John T. Hausladen
Hearing Site: Philadelphia, PA
Checkmark IconExpungement
17-0301311/09/2021Claimant(s): Laurie Diamond
Claimant Lawyers(s): Laurie E. Diamond
Respondent(s): Morgan Stanley, Wells Fargo Advisors, Jeffrey Van Demark
Respondent Lawyers(s): Andrew R. Park, Irisa Chen, Patricia E. Cowart
Arbitrator(s): Pamela H Roderick, Camille S. Cooper, Michael S. Perinelli
Hearing Site: New York, NY
Checkmark IconExpungement
19-0268908/30/2021Claimant(s): Ronnie Rozier
Claimant Lawyers(s): Ronnie L Rozier
Respondent(s): Aubrey Parker, Wells Fargo Advisors
Respondent Lawyers(s): Keith Barnett
Arbitrator(s): Barbara Black, Judith Stilz Ogden, Henry Bruce Haynes
Hearing Site: Atlanta, GA
Checkmark IconExpungement
20-0150112/01/2020Claimant(s): Steven Ferrara
Claimant Lawyers(s): Steven Ferrara
Respondent(s): Wells Fargo Advisors, Scott Trueman
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
Checkmark Icon$0
18-0030703/19/2020Claimant(s): Norma Ann Farmer Estate
Claimant Lawyers(s): William Kulick
Respondent(s): Bobby Conville, Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Robert J. Gregory, James Kee Irvin, Richard J. Clement
Hearing Site: New Orleans, LA
Checkmark Icon$0
17-0046301/20/2020Claimant(s): Shahida Hossain
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Lindsay Wuller
Arbitrator(s): Ray J. Grzebielski, Robert J. Larson, Elizabeth C. Burton
Hearing Site: Chicago, IL
Checkmark Icon$0
17-0304206/28/2019Claimant(s): Deborah Scribner, George Scribner, George H. Scribner IRA, Scribner. 401(k) Plan, Scribner Living Trust U/A DTD 05/16/1996, Scribner Inc, Defined Benefit Plan
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Anthony Ross, Wells Fargo Advisors, Lloyd Evans, Wachovia Securities Inc.
Respondent Lawyers(s): Geoff Beckham, Lloyd Glenn Evans
Arbitrator(s): Michael M. Hachigian, Mary M. O'Neil, Bruce Leslie Ishimatsu
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
18-0372906/20/2019Claimant(s): Dulcita Segal, Focus For Health Foundation
Claimant Lawyers(s): Barry Segal
Respondent(s): Alexander Aiello, Wells Fargo Advisors
Respondent Lawyers(s): Jeffery Rodgers
Arbitrator(s): Michael Fischetti
Hearing Site: Newark, NJ
Checkmark IconExpungement

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