FINRA Awards for Wells Fargo Advisors

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

Displaying 141-150 out of 967 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
16-01275	04/07/2017	Claimant(s): Daniel Rubenstein Claimant Lawyers(s): Edward H. Glenn Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Pamela H. Roderick, Ira A. Auerbach, Nicholas M. Herubin Hearing Site: New York, NY		Expungement
16-00659	04/06/2017	Claimant(s): Jon Davidson Claimant Lawyers(s): James D. Patrick Respondent(s): Wells Fargo Advisors, Janice Hutson Respondent Lawyers(s): Keith J. Barnett Arbitrator(s): Barbara Black, Rudolph Andrew Bata, Robert Ware Killorin Hearing Site: Atlanta, GA
15-01083	04/05/2017	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Thomas F. Kopshever Respondent(s): William Krueger Respondent Lawyers(s): Michael C. Bolasina Arbitrator(s): Isidoro Berkman Hearing Site: Seattle, WA
15-01279	03/27/2017	Claimant(s): Mauricio Cardenas Claimant Lawyers(s): Chase Carlson Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Steven A. Siegel Arbitrator(s): Richard J. Fuller, Clarence B. Johnson, CLU, ChFC, Sammia Pratt Hearing Site: Orlando, FL
16-03534	03/24/2017	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Jessica G. Klein Respondent(s): Fredrick Reagan Respondent Lawyers(s): Fredrick Deon Reagan Arbitrator(s): Jack J. Herman Hearing Site: Indianapolis, IN
15-01073	03/23/2017	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Nuviah Shirazi Respondent(s): Mark Agre Respondent Lawyers(s): Ross E. Webster Arbitrator(s): M. W. Gear, Michael A. Rzewnicki, Philip J. Glick Hearing Site: Kansas City, MO
12-00832	03/10/2017	Claimant(s): Estate of Gilmay C. Dube Claimant Lawyers(s): Thomas P. Willcutts Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Deirdre Wolff Arbitrator(s): Sean Alan D'Amico Hearing Site: Hartford, CT		$0
15-01280	03/09/2017	Claimant(s): Michael Montalvo Claimant Lawyers(s): Curtis Carlson Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Steven A. Siegel Arbitrator(s): Mark R. Topper, Thomas Roe Oldt, Ronald Charles Waters Hearing Site: Orlando, FL
16-01123	03/09/2017	Claimant(s): Anthony Pryor Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Geoff Beckham Arbitrator(s): George W. Harding, Herbert Liberman, Walter J. Huntley Hearing Site: Albuquerque, NM		$357,000
16-02646	03/08/2017	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Jack D. Ballard Respondent(s): Lejo Abraham Respondent Lawyers(s): Lejo Abraham Arbitrator(s): Allan R. Lazor Hearing Site: Houston, TX