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FINRA Awards for Wells Fargo Institutional Securities

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0124807/13/2015Claimant(s): William Hopke
Claimant Lawyers(s): David Wechsler
Respondent(s): Wells Fargo Securities, Wells Fargo Institutional Securities, LL
Respondent Lawyers(s): Robert N. Holtzman
Arbitrator(s): James J. Fishman, Michael Peter Yahr, Randall K. Berger
Hearing Site: New York, NY
08-0140905/12/2009Claimant(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
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