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FINRA Awards for Wells Fargo Clearing Services

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Displaying 81-90 out of 103 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0138905/09/2019Claimant(s): Mary Lott
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Allan R. Lazor
Hearing Site: New Orleans, LA
Checkmark Icon$0
18-0021104/11/2019Claimant(s): Cletus Gernes
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Arthur Richard Tow, Susan M. Sanger, William Joseph Caprathe
Hearing Site: Minneapolis, MN
Checkmark IconExpungement
18-0062004/08/2019Claimant(s): Ronald Bauer
Claimant Lawyers(s): William Scott Turnbull
Respondent(s): Wells Fargo Clearing Services, Steven Sklover
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Bernice Leah Stander, Linda M. Foster-Wells, Stephanie Jeannette Charny
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
18-0145103/21/2019Claimant(s): Gallina Family Investments
Claimant Lawyers(s): Charles W HIll
Respondent(s): Wells Fargo Clearing Services, Nathan Hooker
Respondent Lawyers(s): Lindsay E. Wuller
Arbitrator(s): Stuart K. Furman, Earle J. Schwarz, Frank S. Cantrell
Hearing Site: Memphis, TN
Checkmark Icon$0
17-0142602/19/2019Claimant(s): Beatrice Welscher, Craig Welscher, Norma Welscher
Claimant Lawyers(s): Leonard J. Meyer
Respondent(s): Wells Fargo Clearing Services, Richard DeYoung
Respondent Lawyers(s): Edward F. Fernandes
Arbitrator(s): Thomas M. Campbell, Leonard J. Sullivan, Jeff Kilgore
Hearing Site: Houston, TX
Checkmark Icon$786,600
17-0165702/08/2019Claimant(s): Lori Conti, Orlando P. Conti Revocable Trust
Claimant Lawyers(s): Justin Sauerwald
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Joseph A. Vallo
Arbitrator(s): Richard J. Kaplan, Donald Theodore Ryce, Sonja Shuford
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
17-0190202/07/2019Claimant(s): Benita Gabbe, Benita L. Gabbe Revocable Trust
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Carl Shechter
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
17-0270001/31/2019Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Matthew Maczko, IRA, Matthew Maczko and Loretta Maczko Joint, Loretta Maczko Dec of Trus, Matthew Maczko Dec of Trust
Respondent Lawyers(s): Matthew Christopher Maczko
Arbitrator(s): Arne R. Rode, Jerome K. Rumps, Alan Rosen
Hearing Site: Chicago, IL
Checkmark Icon$0
18-0024301/25/2019Claimant(s): Catherine Talman, Roger Talman, 1990 Talman Family Living Trust
Claimant Lawyers(s): Leslie Schwaebe Akins
Respondent(s): Wells Fargo Clearing Services, Timothy Cusick
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Thaddeus J. Tecza, Mary C. Davis, Val D. Hornstein
Hearing Site: Salt Lake City, UT
Checkmark IconExpungement
17-0199901/18/2019Claimant(s): Nancy Mellon
Claimant Lawyers(s): Nancy Kimball Mellon
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services, Peter Roome
Respondent Lawyers(s): Patricia Cowart, Peter D. Roome
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
Checkmark IconExpungement

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