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FINRA Awards for Wells Fargo Investments

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Displaying 41-50 out of 136 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0531304/27/2012Claimant(s): Garrison Family LLC, Charlotte Garrison Trst FBO MarkGarrison, Charlotte Garrison Trust FBO LesaNeugent, Charlotte L Garrison Exempt Marital Trst, Charlotte L. Garrison Marital Trust, Jack M. Garrison Survivor's Trust, Rev Trust of Jack and Charlotte Garrison
Claimant Lawyers(s): Jason T. Dennett
Respondent(s): Wells Fargo Investments, Jean Adams, Rebbie Thomas
Respondent Lawyers(s): Christopher B. Wells
Arbitrator(s): Laurie E. Law, Kevin I. Patrick, Charles Scott McClellan
Hearing Site: Seattle, WA
Checkmark Icon$0
10-0506504/20/2012Claimant(s): Ray Monroy
Claimant Lawyers(s): Joe W. Beverly
Respondent(s): Benjamin Callahan, Wells Fargo Investments
Respondent Lawyers(s): Susan A. Logsdon
Arbitrator(s): Leonard J. Sullivan, Robert Dan Sherrill, Carol Ann Stapper
Hearing Site: Houston, TX
Checkmark IconExpungement
11-0334003/23/2012Claimant(s): Patricia Towler
Claimant Lawyers(s): Patricia Ann Towler
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Vanessa M. Hoffman
Arbitrator(s): David W. Casey
Hearing Site: Los Angeles, CA
Checkmark Icon$5,325
11-0080003/16/2012Claimant(s): David Taylor
Claimant Lawyers(s): William R. Warne
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Ferdinand Schoch, Laurel Littman Gothelf
Hearing Site: San Francisco, CA
Checkmark IconExpungement
11-0059402/29/2012Claimant(s): Robert Elberger
Claimant Lawyers(s): Ronald M. Cohen
Respondent(s): Wells Fargo Investments, Jay Haley
Respondent Lawyers(s): Martha F. McDugald
Arbitrator(s): Thomas D. Nagle, Dale A. Hearn, Alan M. Holzberg
Hearing Site: Houston, TX
Checkmark Icon$0
10-0534802/17/2012Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kenneth Horswell
Respondent Lawyers(s): Kenneth Alan Horswell
Arbitrator(s): James G. Cooper, Michael J. Ahlstrom, Jeff Kilgore
Hearing Site: Houston, TX
11-0281102/13/2012Claimant(s): Jeff Herr
Claimant Lawyers(s): Robert M Riffle
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
Checkmark Icon$9,308
09-0600401/25/2012Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Joseph Papez
Respondent Lawyers(s): Howard J. Rosenburg
Arbitrator(s): Herb Schwartz
Hearing Site: Las Vegas, NV
10-0461801/23/2012Claimant(s): Robert Gloss
Claimant Lawyers(s): Michael F Marlow
Respondent(s): Wells Fargo Investments, James Beare
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): William B. Ross, Lee T. Beske, Frederick Ramos
Hearing Site: Minneapolis, MN
Checkmark IconExpungement
10-0302301/19/2012Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Ronald Hyde
Respondent Lawyers(s): Ronald M. Hyde
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Portland, OR

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