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FINRA Awards for Wells Fargo Advisors

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Displaying 271-280 out of 967 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0275912/09/2015Claimant(s): Charles Avery
Claimant Lawyers(s): Charles G. Avery
Respondent(s): Wells Fargo Advisors, Paolo Bagnato
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
Checkmark Icon$225
12-0195712/04/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Lewis Lucarine
Respondent Lawyers(s): Lewis J. Lucarine
Arbitrator(s): Jim Geiger, Diane Ciccone, Timothy J. Tarpey
Hearing Site: Philadelphia, PA
14-0030612/02/2015Claimant(s): Robert Ritter
Claimant Lawyers(s): Peter A. Cantwell
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Benjamin W. White
Arbitrator(s): Michael G. Clark, Dean J. Dietrich, Bruce Swartout
Hearing Site: San Francisco, CA
15-0041912/02/2015Claimant(s): Gary Breda
Claimant Lawyers(s): Megan Christensen
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): J. Burke McCormick
Arbitrator(s): Thomas C. Tretter, Joseph Peter Colonna, Phillip Alden Hofling
Hearing Site: Boston, MA
14-0344811/17/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica G. Klein
Respondent(s): Steven Spitts
Respondent Lawyers(s): Steven Craig Spitts
Arbitrator(s): James N. D'Orso
Hearing Site: San Francisco, CA
13-0136911/13/2015Claimant(s): William Call
Claimant Lawyers(s): Steven D Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Samuel B. Garber, Rita J. Jacyna Curley, Raymond P. Buschmann
Hearing Site: Chicago, IL
Checkmark Icon$0
14-0215211/12/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sara Soto
Respondent(s): John Longman
Respondent Lawyers(s): Omar Ortega
Arbitrator(s): Jill Pilgrim, Stephen Trigg Kuhn, Carl Henry Perdue
Hearing Site: Miami, FL
12-0404011/10/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Aric Kent
Respondent Lawyers(s): Marie C. Mirch
Arbitrator(s): Fred T. Kallet, James D. Knotter, Thomas J. Doherty
Hearing Site: San Diego, CA
15-0056611/10/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Judy Louie
Respondent(s): Timothy Barnard
Respondent Lawyers(s): Timothy Scott Barnard
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
13-0283311/02/2015Claimant(s): Felyce Thomas
Claimant Lawyers(s): Herbert Wiggins
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Richard M. Norman
Hearing Site: Los Angeles, CA
Checkmark IconExpungement

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