FINRA Awards for Wells Fargo Advisors

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

Displaying 171-180 out of 967 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
14-01674	12/20/2016	Claimant(s): George Kezios Claimant Lawyers(s): Stephen J. Thomas Respondent(s): Wells Fargo Advisors, Gregory Chachas Respondent Lawyers(s): Judy Louie Arbitrator(s): John Alen DeRosa, Michael D. Harrison, Joseph Winter Hearing Site: Los Angeles, CA		Expungement
15-02085	12/14/2016	Claimant(s): David Covington Claimant Lawyers(s): Lars K. Soreide Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Patricia E. Cowart Arbitrator(s): Raymond C. Kerr, Barbara L. Edin, Daniel J. Pagnano Hearing Site: New Orleans, LA		Expungement
16-00174	12/12/2016	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Benjamin White Respondent(s): Adam Mayfield Respondent Lawyers(s): Adam Benjamin Mayfield Arbitrator(s): Langfred W. White Hearing Site: Tampa, FL
15-01200	12/09/2016	Claimant(s): William D Fitzharris Claimant Lawyers(s): William D Fitzharris Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Susan L. Luck, James F. Major, Brock Bingham Gordon Hearing Site: Charlotte, NC		Expungement
15-03092	12/09/2016	Claimant(s): Revocable Trust of Ralph Day Claimant Lawyers(s): Stuart R. Berkowitz Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Michael L. Lyons, James P. O'Grady, Charles Orlove Hearing Site: St. Louis, MO		Expungement
16-00384	12/02/2016	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Patricia E. Cowart Respondent(s): Emmanuel Tsesmelis Respondent Lawyers(s): Emmanuel James Tsesmelis Arbitrator(s): Jack A. Helms Hearing Site: Tampa, FL
16-02250	12/01/2016	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Jessica G. Klein Respondent(s): Larry Underwood Respondent Lawyers(s): Larry Michael Underwood Arbitrator(s): Christopher J. Klein Hearing Site: Miami, FL
15-02809	11/29/2016	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Timothy N. Will Respondent(s): Darren Walton Respondent Lawyers(s): Darren Thomas Walton Arbitrator(s): Joseph Winter Hearing Site: Los Angeles, CA
15-03495	11/16/2016	Claimant(s): Sefferino Guerrera, Sefferino Guerrera IRA Claimant Lawyers(s): Jonathan W. Evans Respondent(s): Wells Fargo Advisors, Wells Fargo Investments, David Kakuda, Morgan Stanley Respondent Lawyers(s): Judy Louie, Kitoh Grey Arbitrator(s): Thomas R. Watkins Hearing Site: Los Angeles, CA		Expungement
16-02028	11/14/2016	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Jack D. Ballard Respondent(s): Emilio Guajardo Respondent Lawyers(s): Emilio Guajardo Arbitrator(s): Allan R. Lazor Hearing Site: Houston, TX