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FINRA Awards for Wells Fargo Advisors

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Displaying 401-410 out of 967 results
Case Number Award Date Case Summary Customer Case? Amount Granted
13-0262910/13/2014Claimant(s): Robert Tarlowe, Stuart Tarlowe
Claimant Lawyers(s): Robert Lewis Tarlowe, Stuart Alan Tarlowe
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Willard Knox
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
14-0178110/09/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex M. Komoroski
Respondent(s): Jeffrey Whitaker
Respondent Lawyers(s): Jeffrey Lee Whitaker
Arbitrator(s): Peter B. Vaden
Hearing Site: Norfolk, VA
13-0228110/08/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory Tendrich
Respondent(s): James Tully
Respondent Lawyers(s): James Tully
Arbitrator(s): Mark R. Topper
Hearing Site: Orlando, FL
13-0080810/07/2014Claimant(s): Vincent Vasta
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Morton S. Bunis, S. Charles Tabak, Richard C. Antonelli
Hearing Site: Newark, NJ
Checkmark IconExpungement
12-0397610/02/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Daniel Curkan
Respondent Lawyers(s): John R. Kiefner
Arbitrator(s): Colleen Grace, Sharon Lee Chernin, Richard Kennard Hurley
Hearing Site: Tampa, FL
13-0253710/01/2014Claimant(s): Steven Hall
Claimant Lawyers(s): Steven H. Hall
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
13-0189509/24/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Evan Sall
Respondent Lawyers(s): Michael Kalmus
Arbitrator(s): David E. Robbins, Howard L. Sobel, Carole R. Bernstein
Hearing Site: New York, NY
13-0296309/24/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Benjamin W. White
Respondent(s): Seng Heuansavath
Respondent Lawyers(s): Seng Nuna Heuansavath
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
13-0258309/23/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Craig Stein
Respondent(s): Peter Mason
Respondent Lawyers(s): Peter Owen Mason
Arbitrator(s): Alfred Brunette
Hearing Site: Tampa, FL
13-0276209/08/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Blake L. Daniels
Respondent(s): James Price
Respondent Lawyers(s): James Trent Price
Arbitrator(s): Robert S. Zuckerman
Hearing Site: Raleigh, NC

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