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FINRA Awards for Wells Fargo Advisors

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Displaying 321-330 out of 967 results
Case Number Award Date Case Summary Customer Case? Amount Granted
13-0123205/13/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Megan Christensen
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Sam Antar
Hearing Site: Newark, NJ
13-0263405/12/2015Claimant(s): PNC Investments LLC
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Wells Fargo Advisors, Joe Shimko, Karen Lemay, Lino Gutierrez
Respondent Lawyers(s): Nisha S. Wright
Arbitrator(s): Richard H. Schneider, Rosemarie Ann Jannuzzi, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
14-0378705/08/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Patricia E. Cowart
Respondent(s): Brian Berger
Respondent Lawyers(s): Brian Michael Berger
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
14-0275505/07/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): David Palmer
Respondent Lawyers(s): David Palmer
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
14-0173205/04/2015Claimant(s): Ari Litvin
Claimant Lawyers(s): Joshua D. Jones
Respondent(s): Wells Fargo Advisors, Dorothy Crawford, F. Patrick Owen, Laurie Conkin
Respondent Lawyers(s): Joshua D. Jones, Kip A. Nesmith, Lisa Braganca
Arbitrator(s): Douglas E. Miller
Hearing Site: Memphis, TN
Expungement
14-0037305/04/2015Claimant(s): Alfred Phillips
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Marie G. Peterson, Allen Robin, Steven Robert Wiehe
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
14-0160004/24/2015Claimant(s): Teresa Harmon
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Robert A. Lombardi
Hearing Site: Los Angeles, CA
13-0287404/23/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sara Soto
Respondent(s): Richard Ohrn
Respondent Lawyers(s): Richard Winsor Ohrn
Arbitrator(s): Alice J. Johnson, Joseph Benalt, Marilyn Nader
Hearing Site: Boca Raton, FL
14-0347904/22/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Nathan Zimmerman
Respondent Lawyers(s): Nathan Trent Zimmerman
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
14-0194104/22/2015Claimant(s): Larry Osweiler
Claimant Lawyers(s): Larry Osweiler
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
Checkmark Icon$0

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