FINRA Awards for Wells Fargo Advisors

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Displaying 671-680 out of 967 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
11-03911	10/22/2012	Claimant(s): Miriam Dean Claimant Lawyers(s): Miriam Dean Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Vanessa M. Hoffmann Arbitrator(s): Robert Rosen Hearing Site: Los Angeles, CA		$0
12-01738	10/19/2012	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Archie Capinguian Respondent(s): Harry Davis Respondent Lawyers(s): Patrick J. Dolan Arbitrator(s): Kelly M. Lonergan Hearing Site: Boston, MA
11-00611	10/17/2012	Claimant(s): Peggy A. Boyles IRA Claimant Lawyers(s): Mark A. Tepper Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Alan S. Rafterman Arbitrator(s): Mimi B. Osiason, Frank Brenner, Audrey Belitz Rauchway Hearing Site: Tampa, FL		$0
12-01739	10/16/2012	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Archie Capinguian Respondent(s): Lynn De Vasto Respondent Lawyers(s): Lynn Anne De Vasto Arbitrator(s): Paul J. Greco Hearing Site: Philadelphia, PA
11-04797	10/16/2012	Claimant(s): James McKay, Kristine McKay Claimant Lawyers(s): Martha J. Ashcraft Respondent(s): Wells Fargo Advisors, Melisa Oehmke Respondent Lawyers(s): Deidre Wolff Arbitrator(s): Richard R. Edmister Hearing Site: Las Vegas, NV		$8,693
12-00606	10/12/2012	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Lisa S. Fildes Respondent(s): Mera Tawfik-Oshana Respondent Lawyers(s): Richard D. Schramm Arbitrator(s): Peter H. Daly Hearing Site: San Francisco, CA
11-02669	10/11/2012	Claimant(s): Sirotkin Family Limited Partnership Claimant Lawyers(s): Michael Hill Respondent(s): Wells Fargo Advisors, Patsy Lillehei Respondent Lawyers(s): Sara Soto Arbitrator(s): Steven Ira Weinberger, Frances D. Sheehy, Tina Scott Polsky Hearing Site: Boca Raton, FL		Expungement
11-00484	10/10/2012	Claimant(s): James Bordas, Linda Bordas Claimant Lawyers(s): J. Zachary Zatezalo Respondent(s): Wells Fargo Advisors, Ernest Coffindaffer Respondent Lawyers(s): Meredith Cavallaro Arbitrator(s): Michael R. Stabile, G. Daniel Carney, John P. Abriola Hearing Site: Pittsburgh, PA		$98,250
11-02864	10/02/2012	Claimant(s): Janie Orr, John Orr Claimant Lawyers(s): Robert D. O'Conor Respondent(s): Wells Fargo Advisors, Perry Lyons Respondent Lawyers(s): Michael A. Rodriguez Arbitrator(s): Philip I. McConnell, Jack Chapline Vaughan, Joshua D. Wallach Hearing Site: Houston, TX		Expungement
11-03198	10/01/2012	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Christopher S. Griesmeyer Respondent(s): James Upham Respondent Lawyers(s): James Upham Arbitrator(s): Robert P. Porter Hearing Site: Raleigh, NC