FINRA Awards for Wells Fargo Investments

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

Displaying 131-136 out of 136 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
06-03920	10/19/2007	Claimant(s): Wells Fargo Investments Claimant Lawyers(s): Ronald S. Kravitz Respondent(s): David Kauffman Respondent Lawyers(s): Matthew G. English Arbitrator(s): James D. Knotter, Katherine Jane Morris, Robert E. Witt Hearing Site: San Diego, CA
07-00941	10/19/2007	Claimant(s): Wells Fargo Investments Claimant Lawyers(s): Diane C. Fischer Respondent(s): John Liu Respondent Lawyers(s): John Young Liu Arbitrator(s): Mary Ann Tunick Hearing Site: Houston, TX
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
06-03185	08/20/2007	Claimant(s): Wells Fargo Investments Claimant Lawyers(s): Ronald P. Kane Respondent(s): Elias Lopez-Hakimian Respondent Lawyers(s): Daniel L. Hitzke Arbitrator(s): Dennis A. Torres, Robert C. Albini, Paul Frederick Meyer Hearing Site: Los Angeles, CA
06-02033	08/15/2007	Claimant(s): Wells Fargo Investments Claimant Lawyers(s): Diane C. Fischer Respondent(s): Eduardo Tejada Respondent Lawyers(s): Eduardo M. Tejada Arbitrator(s): George A. Sellnau, William R. Jonson, Edmund Herbert Hecht Hearing Site: Houston, TX
06-05354	08/14/2007	Claimant(s): Wells Fargo Investments Claimant Lawyers(s): Ronald P. Kane Respondent(s): Nelvine Ocampo Respondent Lawyers(s): Irving M. Einhorn Arbitrator(s): Richard J. Stall, Norman Cousins Sasamori, Randall N. Kirk Hearing Site: Los Angeles, CA