FINRA Awards for Wells Fargo Brokerage Services

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Displaying 3 out of 3 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
10-03743	05/08/2012	Claimant(s): Donna Wagner, Richard Wagner, R.L.WagnerTrust-Richard Wagner Trustee Claimant Lawyers(s): James R. Ebert, William A. Malis Respondent(s): Wells Fargo Investments, Wells Fargo Brokerage Services, L.L.C., Wells Fargo Institutional Securities LLC Respondent Lawyers(s): Peter R. Boutin Arbitrator(s): Kenneth I. Rosenblum, Gerald F. Corrigan, Richard M. Norman Hearing Site: Los Angeles, CA		Auction Rate Securities related
08-01409	05/12/2009	Claimant(s): Marina Pacific Associates Claimant Lawyers(s): Peter J. Most Respondent(s): Wells Fargo Brokerage Services, Wells Fargo Institutional Securities, LL Respondent Lawyers(s): Eric G. Wallis Arbitrator(s): Andrew M. Mintzer, George Frederick Garris, Steven J. Feldman Hearing Site: Los Angeles, CA		$0
06-03915	10/12/2007	Claimant(s): Richard Nadler Claimant Lawyers(s): Michael S. MacDonald Respondent(s): Wells Fargo Investments, Wells Fargo Brokerage Services Respondent Lawyers(s): Lawrence T. Hofmann Arbitrator(s): Jack D. Elmquist, Jeffrey W. Jacobs, Bradley A. Erickson Hearing Site: Minneapolis, MN		$0