FINRA Awards for Wells Fargo Investments

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

Displaying 10 out of 136 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
23-01431	05/07/2024	Claimant(s): John Bostaph Claimant Lawyers(s): Chelsea Bauer Respondent(s): WAMU Investments., Wells Fargo Investments Respondent Lawyers(s): Geoff Beckham, Registered Agent Arbitrator(s): Philip Aaron Tymon Hearing Site: San Francisco, CA
23-00414	11/16/2023	Claimant(s): Marc Kreisberger Claimant Lawyers(s): Brian Luther Respondent(s): Wells Fargo Investments Respondent Lawyers(s): Jeffery D. Rodgers Arbitrator(s): Randy R. Maher Hearing Site: Las Vegas, NV
22-01813	04/14/2023	Claimant(s): Troy Taylor Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Investments Respondent Lawyers(s): Jason Kempf Arbitrator(s): Sherry R. Wetsch Hearing Site: Houston, TX
22-01138	01/30/2023	Claimant(s): Jason Lee Claimant Lawyers(s): Samantha Pastor Respondent(s): Wells Fargo Investments Respondent Lawyers(s): Valerie Holder Arbitrator(s): John J. Fitzpatrick Hearing Site: San Francisco, CA
21-02723	05/04/2022	Claimant(s): Marc Kreisberger Claimant Lawyers(s): Brian Luther Respondent(s): Wells Fargo Investments Respondent Lawyers(s): Valerie Holder Arbitrator(s): Milton N. Gross Hearing Site: Las Vegas, NV
21-02124	04/25/2022	Claimant(s): Mearu Takatsu Claimant Lawyers(s): Stephan Louviere Respondent(s): Wells Fargo Investments, TD Ameritrade., Citicorp Investment Services Respondent Lawyers(s): Adam Kauff, Bryce Cullinane, Valerie Holder Arbitrator(s): Daniel M. Yamshon Hearing Site: San Francisco, CA
21-02334	04/08/2022	Claimant(s): Vu Nguyen Claimant Lawyers(s): Zachary Morse Respondent(s): Ameriprise Financial Services., Wells Fargo Investments, Countrywide Investment Services., Unionbanc Investment Services Respondent Lawyers(s): Howard M. Klausmeier, Laura A. Pizzitola, Neal S. Robb, Valerie Holder Arbitrator(s): Shawn Ridgell Hearing Site: San Francisco, CA
21-01195	12/17/2021	Claimant(s): Joseph Frank Claimant Lawyers(s): Harris Freedman Respondent(s): Wells Fargo Investments Respondent Lawyers(s): Geoffrey S. Beckham Arbitrator(s): Arocles Aguilar Hearing Site: San Francisco, CA
18-03524	07/30/2021	Claimant(s): Sergio Praslin Claimant Lawyers(s): Marc I. Zussman Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Investments Respondent Lawyers(s): Deirdre Wolff Arbitrator(s): Erik R. Siering, Eric Gad Forster, Steven H. Gentry Hearing Site: Los Angeles, CA		Expungement
20-02674	06/30/2021	Claimant(s): Bradley Thompson Claimant Lawyers(s): Harris Freedman Respondent(s): Wells Fargo Investments Respondent Lawyers(s): Jeffery D. Rodgers Arbitrator(s): Philip J. Glick Hearing Site: Denver, CO