FINRA Awards for Wells Fargo Advisors

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Displaying 461-470 out of 967 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
13-02748	04/17/2014	Claimant(s): Kenneth Smith Claimant Lawyers(s): Mark S. Gregory Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Nuviah Shirazi Arbitrator(s): Samuel H. Chorches Hearing Site: Hartford, CT
13-01509	04/15/2014	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): R. Rhett Owens Respondent(s): Frank Quartararo Respondent Lawyers(s): Frank Anthony Quartararo Arbitrator(s): R. Van Young Hearing Site: Atlanta, GA
13-02414	04/15/2014	Claimant(s): Steliana Torres Claimant Lawyers(s): Steliana Torres Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Steven A. Siegel Arbitrator(s): Darryl C. Wilson Hearing Site: Tampa, FL
11-02837	04/15/2014	Claimant(s): Michele Jarrett, Sherri Jonas-Lazin, Sheila Jonas as TOD Beneficiary Claimant Lawyers(s): Jahan K Manasseh Respondent(s): Wells Fargo Advisors, Morgan Stanley Respondent Lawyers(s): Kathy M. Klock, Travis R. Chapin Arbitrator(s): Barth Satuloff, Mark I. Roth, Judith Kelner Chu Hearing Site: Boca Raton, FL		Expungement
12-03265	04/11/2014	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Megan M. Christensen Respondent(s): Adam Gurien Respondent Lawyers(s): Andrew R. Macklin Arbitrator(s): Linda J. Baer, Veronica Ann Williams, Zung T. Nguyen Hearing Site: Newark, NJ
11-02922	04/07/2014	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Mitchell J. Albert Respondent(s): Respondent Lawyers(s): Arbitrator(s): Elliott David Finkel Hearing Site: Los Angeles, CA
13-02400	04/04/2014	Claimant(s): James Joseph Claimant Lawyers(s): James J. Joseph Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Nisha Wright Arbitrator(s): Gary M. Landau Hearing Site: Boca Raton, FL
13-02600	04/02/2014	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Alex Komoroski Respondent(s): Brian Merrigan Respondent Lawyers(s): Brian Merrigan Arbitrator(s): Steven Meyrich Hearing Site: Denver, CO
13-01756	03/28/2014	Claimant(s): Doretta Oaklief WFBNA Custodian Trad IRA Claimant Lawyers(s): Doretta Lynn Oaklief Respondent(s): Wells Fargo Advisors, Maria Brady Respondent Lawyers(s): Judy Louie Arbitrator(s): Marc Kalish Hearing Site: Phoenix, AZ		$61,725
12-03925	03/25/2014	Claimant(s): Steven Savary Claimant Lawyers(s): Jeffrey R. Youngman Respondent(s): Wells Fargo Advisors, Jamie Meehan, William O'Connor, Meehan Financial Group, Wells Fargo & Company Respondent Lawyers(s): Compliance Officer, Judy Louie Arbitrator(s): Robert P. Porter Hearing Site: Charlotte, NC		Expungement