FINRA Awards for Wells Fargo Advisors

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Displaying 731-740 out of 967 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
11-01732	04/27/2012	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Christopher S. Griesmeyer Respondent(s): Aaron Redding Respondent Lawyers(s): Aaron Redding Arbitrator(s): Thomas D. Nagle Hearing Site: Houston, TX
10-02055	04/27/2012	Claimant(s): Ronald Phillips Claimant Lawyers(s): Richard B Fosher Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Stephen M. Cox Arbitrator(s): Ralph S. Paden, John D. Mattingly, John G. Shamp Hearing Site: Columbia, SC		Expungement
11-04015	04/27/2012	Claimant(s): Thomas Buoneto, IRA Claimant Lawyers(s): Thomas Buoneto Respondent(s): Wells Fargo Advisors, Peter Smith Respondent Lawyers(s): William S. Port Arbitrator(s): Peter P. Skomorowsky Hearing Site: New York, NY		$0
11-01945	04/25/2012	Claimant(s): Thurman Ross Claimant Lawyers(s): Jeffrey B Kaplan Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Richard L. Martens Arbitrator(s): Simone Sicola, Kenneth J. Bennett, Susan Jefferbaum Beck Hearing Site: Jacksonville, FL		Stipulated Award and Expungement
11-04341	04/24/2012	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Archie Capinguian Respondent(s): Kenneth Koger Respondent Lawyers(s): Kenneth Koger Arbitrator(s): Lee H. Goodman Hearing Site: Chicago, IL
11-04347	04/24/2012	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Archie Capinguian Respondent(s): Patrick Mulvihill Respondent Lawyers(s): Patrick Mulvihill Arbitrator(s): Marvin I. Horowitz Hearing Site: Detroit, MI
11-01651	04/20/2012	Claimant(s): Lawrence Ennis Claimant Lawyers(s): Christopher C. Coss Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Sandra D. Grannum Arbitrator(s): Simone A. Muscarnera Hearing Site: Newark, NJ
11-00185	04/17/2012	Claimant(s): Rosetta Salzman Revocable Living Trust Claimant Lawyers(s): Kurt J. Schafers Respondent(s): Wells Fargo Advisors, Mary Paulin, Robert Laegeler Respondent Lawyers(s): Gardiner B. Davis Arbitrator(s): Michael S. Hill, David B. Lacks, Robert W. Dempsey Hearing Site: St. Louis, MO		$61,894
11-01383	04/16/2012	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Diane C. Fischer Respondent(s): Richard Chiarenza Respondent Lawyers(s): Richard Douglas Chiarenza Arbitrator(s): Walter S. Weiss Hearing Site: Las Vegas, NV
11-01116	04/13/2012	Claimant(s): Jason Schlesinger Claimant Lawyers(s): Richard E. Levine Respondent(s): Wells Fargo Advisors, Peter Hong, Wallace Key Respondent Lawyers(s): Mitchell Albert Arbitrator(s): Joseph H. Sturdivant, Kenneth W. Gosliner, John J. Shook Hearing Site: San Francisco, CA