Potomac Analytics' Logo

FINRA Awards for Wells Fargo Advisors

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

Filter by:

Sort by:

Displaying 21-30 out of 396 results
Case Number Award Date Case Summary Customer Case? Amount Granted
16-0272909/14/2018Claimant(s): Linda Manderino, Trustee of Roma Beth
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Donald N. Tolin, Rowland Denman, Susan A. Berson
Hearing Site: Wichita, KS
Checkmark IconExpungement
17-0079708/01/2018Claimant(s): Dennis Magid
Claimant Lawyers(s): Ari J. Hoffman
Respondent(s): Wells Fargo Advisors, Lynn Grossman
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): John J. Mager, Morris James Busca, Lisa Joy Cappalli
Hearing Site: Hartford, CT
Checkmark IconExpungement
16-0106607/19/2018Claimant(s): Sammy Duncan, Sylvia Duncan, The Sammy and Sylvia Duncan Revocable Tr
Claimant Lawyers(s): Scott Abeles
Respondent(s): Wells Fargo Advisors, Marc Rogers
Respondent Lawyers(s): Sara Soto
Arbitrator(s): James F. Zotter, Robert David Miller, Matthew Swihart
Hearing Site: Portland, OR
Checkmark Icon$8,678,200
16-0242307/10/2018Claimant(s): Victor Novelli
Claimant Lawyers(s): Raymond J Falzone
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): T.R. Bynum
Arbitrator(s): Gordon M. Wase, George Aleman, Timothy Nolan Donahue
Hearing Site: Philadelphia, PA
Checkmark IconExpungement
13-0003906/19/2018Claimant(s): Estate of Marion M. Young, Estate of Seymour R. Young, The Young Family Trust
Claimant Lawyers(s): Ford C. Ladd
Respondent(s): Christopher Cunningham, Wells Fargo Advisors, Fulcrum Securities
Respondent Lawyers(s): Andrew R. Park, Christopher Matthew Cunningham, William P. Behrens
Arbitrator(s): David Paul Clark, Carl William Noller, Patricia H. Latham
Hearing Site: Washington, DC
Checkmark Icon$127,000
17-0027406/13/2018Claimant(s): Carey Bertsch, Deborah Williamson, Jeffrey Bertsch, Karin Kellogg, Michael McEnany, Pamela Bertsch, Randall Bertsch, Robin Bertsch, Vicki Bertsch, Virginia Bertsch, Walter Kellogg, Carey Bertsch IRA, Karin kellogg IRA, Robin Bertsch IRA, Vicki Bertsch IRA, Walter E. Kellogg, III IRA, Lyle E. Bertsche Revocable Trust u/s dtd, McEnany Williamson Revocable Living Trus, Virgnia L. Bertsch Revocable Trrust u/a, III Trust u/a dtd 2/2
Claimant Lawyers(s): D. Daxton White
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Ed Barkel
Arbitrator(s): I. Douglas Dunipace, Marc Kalish, David S. Eisenberg
Hearing Site: Phoenix, AZ
Checkmark IconExpungement
16-0195406/01/2018Claimant(s): Betty Barnes, Margaret Barbaro, Nancy Cunning, Susan Walls, The Harold R. Cunning, Jr. Trust
Claimant Lawyers(s): Vince Walls
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Jack A. Helms, Martin Salzman, James E Moon
Hearing Site: Tampa, FL
Checkmark IconExpungement
16-0302605/15/2018Claimant(s): Dana Korr, David Korr, Jill Korr, Jonathan Korr
Claimant Lawyers(s): Marc S Gottlieb
Respondent(s): Wells Fargo Advisors, Peter Stabell
Respondent Lawyers(s): Jennifer G. Chawla
Arbitrator(s): Howard L. Sobel, Evdokia Sofos, Jeffrey P. Bachmann
Hearing Site: New York, NY
Checkmark IconExpungement
17-0035205/14/2018Claimant(s): Clarence B. Mills 1991 Irrevocable Trust, William E. Mills 1991 Irrevocable Trust
Claimant Lawyers(s): Alan W. Duncan
Respondent(s): David Robinson, Wachovia Securities Financial Network, Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Richard S. Zaifert, Michele Ann Ledo, Theodore Haynes
Hearing Site: Raleigh, NC
Checkmark IconExpungement
16-0181004/26/2018Claimant(s): HCM Consulting, The HCM Consulting. Pension Plan
Claimant Lawyers(s): Richard Kyle Gavin
Respondent(s): Wells Fargo Advisors, John Crockenberg, Mark Hoffman
Respondent Lawyers(s): Benjamin J. Biard, Beverly Jo Slaughter
Arbitrator(s): Muriel Desloovere, Marshal H. Emerson, David Henry Samson
Hearing Site: Jacksonville, FL
Checkmark Icon$76,257

396 Results

Display: