FINRA Awards for Wells Fargo Advisors

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

Displaying 41-50 out of 396 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
17-01522	01/04/2018	Claimant(s): Xiang Zhang Claimant Lawyers(s): Xiang Zhang Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): T.R, Bynum Arbitrator(s): Howard N. Gorney Hearing Site: Boston, MA		$38
16-01151	12/27/2017	Claimant(s): Paul Sussman Claimant Lawyers(s): Kristian P. Kraszewski Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Will Murphy Hearing Site: Boca Raton, FL		Expungement
16-02191	12/12/2017	Claimant(s): Elaine Nester Claimant Lawyers(s): Benjamin Lapin Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Deirdre Wolff Arbitrator(s): Joseph J. Arata Hearing Site: New York, NY		Expungement
16-02314	11/22/2017	Claimant(s): Robert Leech, Robert W. Leech IRA, The Leech Family Trust Claimant Lawyers(s): Tom Leech Respondent(s): Wells Fargo Advisors, Morgan Stanley Respondent Lawyers(s): Lesley V. Tepper, Michael Naccarato Arbitrator(s): John J. Flynn, Kevin C. Coleman, Clifford A. Threlkeld Hearing Site: San Francisco, CA		Expungement
15-03232	09/26/2017	Claimant(s): Anthony Listro, Gloria Listro Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Wells Fargo Advisors, Richard Galgano Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Marvin L. Schuldiner Hearing Site: Newark, NJ		Expungement
16-01891	09/22/2017	Claimant(s): Pollard Family Trust, Sierra Bonita Trust Claimant Lawyers(s): Michael T. McColloch Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Steven M. Malina Arbitrator(s): Sally G. Williams, Randall B Christison, William Richard Espino Hearing Site: San Diego, CA		$0
17-00015	09/11/2017	Claimant(s): Don Monteath Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Geoff Beckham Arbitrator(s): Marc Kalish Hearing Site: Phoenix, AZ		Dismissed by Rule 12206
17-00704	09/08/2017	Claimant(s): Peter R. Caccippio Revocable Living Tr Claimant Lawyers(s): Benjamin B. Segel Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Deirdre Wolff Arbitrator(s): Wallace Anthony Showman Hearing Site: New York, NY		$50,600
16-01908	09/06/2017	Claimant(s): Helene Brandon, Helene Brandon Rev Trust U/A DTD 8-6-03 Claimant Lawyers(s): Jerard C. Heller Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): T.R. Bynum III Arbitrator(s): Marc T. Danon, Alfred L. Simon, Stacey Rosenthal Hearing Site: Boca Raton, FL		Expungement
16-00826	08/23/2017	Claimant(s): Charles Morgan, Charles W. Morgan Revocable Living Trust Claimant Lawyers(s): Charles W. Morgan Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Judy Louie, Esq. Arbitrator(s): Michael Harrison, Richard M. Norman, Anita Rae Shapiro Hearing Site: Los Angeles, CA		Expungement