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FINRA Awards for Wells Fargo Advisors

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Displaying 551-560 out of 967 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0182709/16/2013Claimant(s): John Lott
Claimant Lawyers(s): Charles M. Thompson
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Joyce F. Glucksman, Samuel C. Johnson, Laree Payne Kennedy
Hearing Site: Birmingham, AL
Checkmark IconExpungement
13-0069609/12/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher Griesmeyer
Respondent(s): David Van Rensselaer
Respondent Lawyers(s): David Van Rensselaer
Arbitrator(s): John D. Mattingly
Hearing Site: Columbia, SC
13-0087509/11/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica Klein
Respondent(s): James Haugen
Respondent Lawyers(s): James Haugen
Arbitrator(s): Benjamin L. Abramowitz
Hearing Site: Jacksonville, FL
12-0158709/10/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitch Albert
Respondent(s): Christopher Allen
Respondent Lawyers(s): Christopher Michael Allen
Arbitrator(s): Laurent C. Vonderweidt
Hearing Site: Los Angeles, CA
13-0125909/10/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Matthew Tarrance
Respondent Lawyers(s): Matthew A. Tarrance
Arbitrator(s): George K. Beardsley
Hearing Site: Tampa, FL
13-0110409/09/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Freddy Medina
Respondent Lawyers(s): Freddy A. Medina
Arbitrator(s): Bernard M. Levine
Hearing Site: Newark, NJ
13-0137809/04/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): R. Rhett Owens
Respondent(s): Chadrick Kelly
Respondent Lawyers(s): Chadrick D. Kelly
Arbitrator(s): Raymond C. Kerr
Hearing Site: New Orleans, LA
12-0423308/21/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica Klein
Respondent(s): Edward Zerweck
Respondent Lawyers(s): Edward Herman Zerweck
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
12-0068008/21/2013Claimant(s): Patricia Santacroce
Claimant Lawyers(s): Adam Gana
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Sean Alan D'Amico
Hearing Site: Hartford, CT
Checkmark IconExpungement
12-0430108/20/2013Claimant(s): Franklin Miller
Claimant Lawyers(s): Peter Brown Dolan
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Doris V. Knotter, Terry D. Anderson, Randy R. Maher
Hearing Site: San Diego, CA

967 Results

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