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FINRA Awards for Wells Fargo Advisors

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Displaying 10 out of 967 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0220509/27/2023Claimant(s): Sidney Kruger Living Trust
Claimant Lawyers(s): Jonathan Noble David
Respondent(s): Wells Fargo Advisors, Mara Schainuck, Sharon Miller
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Seth L. Finkel, Sydney E. Blum, Mark A Bilawsky
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
19-0095302/08/2023Claimant(s): Ann Goldberg, Marc Goldberg
Claimant Lawyers(s): Gary Menzer
Respondent(s): Corey Engelhard, Wells Fargo Advisors
Respondent Lawyers(s): Christopher M. Sacco, Paul Yarns
Arbitrator(s): Monroe Mitchel
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
17-0029901/30/2023Claimant(s): Wells Fargo Advisors, Wells Fargo Clearing Services, Kyle Herrman, Renee Crittenden
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Commerce Brokerage Services.
Respondent Lawyers(s): Corey Franklin
Arbitrator(s): Leah Murray Albert, Barry Goldman, Jane Cohen
Hearing Site: St. Louis, MO
20-0253505/26/2022Claimant(s): Anthony Lombard
Claimant Lawyers(s): Anthony P. Monzo
Respondent(s): James Schultz, Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): George Forest Bingham, Gordon M. Wase, John T. Hausladen
Hearing Site: Philadelphia, PA
Checkmark IconExpungement
18-0398105/17/2022Claimant(s): Anthony Dertouzos
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): David Carroll, David Kowach, Wells Fargo Advisors, Wells Fargo Clearing Services, Mary Mack
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): Emad A. Zikry, James M. Rhodes, David John Reilly
Hearing Site: New York, NY
20-0351502/28/2022Claimant(s): Aaron Olson
Claimant Lawyers(s): Thomas Momjian
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Victor L. Hayslip
Arbitrator(s): Frank E. Wolf, Richard E. Miley, Helen Elizabeth Hester
Hearing Site: Charlotte, NC
17-0301311/09/2021Claimant(s): Laurie Diamond
Claimant Lawyers(s): Laurie E. Diamond
Respondent(s): Morgan Stanley, Wells Fargo Advisors, Jeffrey Van Demark
Respondent Lawyers(s): Andrew R. Park, Irisa Chen, Patricia E. Cowart
Arbitrator(s): Pamela H Roderick, Camille S. Cooper, Michael S. Perinelli
Hearing Site: New York, NY
Checkmark IconExpungement
19-0268908/30/2021Claimant(s): Ronnie Rozier
Claimant Lawyers(s): Ronnie L Rozier
Respondent(s): Aubrey Parker, Wells Fargo Advisors
Respondent Lawyers(s): Keith Barnett
Arbitrator(s): Barbara Black, Judith Stilz Ogden, Henry Bruce Haynes
Hearing Site: Atlanta, GA
Checkmark IconExpungement
20-0223303/26/2021Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Eric M Steinert
Respondent(s): Katie Blando
Respondent Lawyers(s): Katie R Blando
Arbitrator(s): Gunnar Thowsen, Kevin K. Forrester, Randall B Christison
Hearing Site: San Diego, CA
17-0328001/21/2021Claimant(s): Robert Hart, Thomas Tonkovich
Claimant Lawyers(s): Thomas H. Chiacchio
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Joseph Rudolph Guarino, James M. Rhodes, Robert J. McDonnell
Hearing Site: Jersey City, NJ

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