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FINRA Awards for Wells Fargo Advisors

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Displaying 201-210 out of 967 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0221408/30/2016Claimant(s): Darra Munn
Claimant Lawyers(s): Michael D. Mosher
Respondent(s): Wells Fargo Advisors, Dana Napier
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s):
Hearing Site: Dallas, TX
Checkmark Icon$0
16-0021308/23/2016Claimant(s): Billy Hackworth
Claimant Lawyers(s): Billy T. Hackworth
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Richard E. Lauziere
Hearing Site: Richmond, VA
Checkmark Icon$213
16-0068308/09/2016Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Demian J. Betz
Respondent(s): Jeffrey Cappello
Respondent Lawyers(s): Jeffrey Mark Cappello
Arbitrator(s): Jack A. Helms
Hearing Site: Raleigh, NC
13-0296408/03/2016Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sandra D. Grannum
Respondent(s): Robert Loftus
Respondent Lawyers(s): James Halter
Arbitrator(s): Joan Caridi, Ann C. Northern, Bernard A. Friedman
Hearing Site: New York, NY
15-0184208/02/2016Claimant(s): Andrew Wilkinson
Claimant Lawyers(s): Randall C. Place
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Richard H. Potter, Kenneth Hoffner, Dana Tait Sandlin
Hearing Site: Charlotte, NC
Checkmark Icon$98,750
16-0085408/01/2016Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Michael Becking
Respondent Lawyers(s): Michael Allen Becking
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
15-0258407/28/2016Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): Alyssa Braycewski, John Braycewski
Respondent Lawyers(s): Alyssa Braycewski, John B. Braycewski
Arbitrator(s): Paul Allan Massaro
Hearing Site: Newark, NJ
Checkmark Icon$0
16-0078107/26/2016Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Pedro Marrero Astacio
Respondent Lawyers(s): Pedro J. Marrero Astacio
Arbitrator(s): Daniel P. Lund
Hearing Site: Orlando, FL
16-0079907/26/2016Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): William Eaton
Respondent Lawyers(s): William Thomas Eaton
Arbitrator(s): Daniel P. Lund
Hearing Site: Boca Raton, FL
14-0046707/20/2016Claimant(s): Bruce Botts, Lynne Botts
Claimant Lawyers(s): Bruce Botts, Lynne Botts
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Bill Swinford, Jeffrey M. Bain, Harold Dean Tolbert
Hearing Site: Cincinnati, OH
Checkmark IconExpungement

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