FINRA Awards for Wells Fargo Advisors

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Displaying 91-100 out of 967 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
17-00304	10/12/2017	Claimant(s): Thomas Fields Claimant Lawyers(s): Dochtor Kennedy Respondent(s): A.G. Edwards & Sons., Wells Fargo Advisors, Prudential Equity Group Respondent Lawyers(s): Alan S. Brodherson, Deirdre Wolff Arbitrator(s): Neil Harvey Smith Hearing Site: Nashville, TN
16-02640	10/11/2017	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Kevin J. Woods Respondent(s): Terry Bailey Respondent Lawyers(s): Terry Lee Bailey Arbitrator(s): Lester Friedman, Alexandra M. Linden, Robert Sachs Mandelson Hearing Site: San Francisco, CA
16-00896	10/09/2017	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Kevin J. Woods Respondent(s): Ryan Capatosto Respondent Lawyers(s): Ryan Lawrence Capatosto Arbitrator(s): Erik R. Siering Hearing Site: Los Angeles, CA
17-00177	09/29/2017	Claimant(s): Samuel Bennett Claimant Lawyers(s): Owen Harnett Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): David S. Repking Arbitrator(s): Terry F. Peppard Hearing Site: Detroit, MI
15-02697	09/27/2017	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Deirdre Wolff Respondent(s): John Giangrande Respondent Lawyers(s): James Weston Arbitrator(s): Thomas Joseph Atkinson Hearing Site: Columbia, SC
16-01365	09/26/2017	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Kevin J. Woods Respondent(s): Mario Mendoza Respondent Lawyers(s): Melinda Jane Steuer Arbitrator(s): Ralph A. Cotton Hearing Site: San Francisco, CA
15-03232	09/26/2017	Claimant(s): Anthony Listro, Gloria Listro Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Wells Fargo Advisors, Richard Galgano Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Marvin L. Schuldiner Hearing Site: Newark, NJ		Expungement
16-02233	09/22/2017	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Christopher S. Griesmeyer Respondent(s): Robert Anderson Respondent Lawyers(s): Robert Anderson Arbitrator(s): Sheldon Weinhaus, William Joseph Caprathe, John Anthony Tatom Hearing Site: St. Louis, MO
16-01891	09/22/2017	Claimant(s): Pollard Family Trust, Sierra Bonita Trust Claimant Lawyers(s): Michael T. McColloch Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Steven M. Malina Arbitrator(s): Sally G. Williams, Randall B Christison, William Richard Espino Hearing Site: San Diego, CA		$0
15-01841	09/19/2017	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Sandra D. Grannum Respondent(s): Alexander Bolshem Respondent Lawyers(s): Ethan A. Brecher Arbitrator(s): Alan James Jacoby, Jay Alan Kranis, Sandra Holtzman Hearing Site: Newark, NJ