FINRA Awards for Wells Fargo Advisors

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 751-760 out of 967 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
11-00052	03/05/2012	Claimant(s): Paul Malkin, Phyllis Malkin Claimant Lawyers(s): Lawrence R. Gelber Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Keith Olin Arbitrator(s): Linda M. Granata, Melanie S. Cherdack, Joseph Michael Matthews Hearing Site: Miami, FL		$90,298
09-06810	02/29/2012	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Mitchell J. Albert Respondent(s): Kent Elliott Respondent Lawyers(s): John W. Shaw Arbitrator(s): Lester Friedman, Gary A. Hooker, Val D. Hornstein Hearing Site: San Francisco, CA
11-01830	02/27/2012	Claimant(s): John C. Reppucci TTEE M&M Plans. Claimant Lawyers(s): John E. Sutherland Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Nuviah Shirazi Arbitrator(s): Richard J. Grahn Hearing Site: Boston, MA		$21,000
10-00853	02/23/2012	Claimant(s): Robert Davis, Thresa Stroud, BROCO II, The Janene Davis Living Trust Claimant Lawyers(s): Mark E. Maddox Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Beth A. Black Arbitrator(s): Gary P. Price, Kathleen A. DeLaney, Jason Alexander Beer Hearing Site: Indianapolis, IN		Expungement
11-01000	02/21/2012	Claimant(s): Alice Anthony, John Anthony Claimant Lawyers(s): Karen K. Fitzgerald Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Nuviah Shirazi Arbitrator(s): Daniel A. Kile, T. E. Jaeb, Leighton Aiken Hearing Site: Dallas, TX		Expungement
11-00881	02/17/2012	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): David J. Sensenig Respondent(s): Alvaro Casella Respondent Lawyers(s): Alvaro G. Casella Arbitrator(s): Lewis H. Kairys, Carl F. Bowmer, Thomas W. Allen Hearing Site: Raleigh, NC		$0
11-01510	02/17/2012	Claimant(s): Diana Calderaio, John Calderaio, Paul Calderaio Claimant Lawyers(s): John A. Calderaio Respondent(s): Wells Fargo Advisors, Robert Misener Respondent Lawyers(s): Todd Ratner Arbitrator(s): Kathleen K. Murphy Hearing Site: Philadelphia, PA		$225
11-03197	02/15/2012	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Christopher S. Griesmeyer Respondent(s): Shawn Higley Respondent Lawyers(s): Shawn Orin Higley Arbitrator(s): Bernard F. Vail Hearing Site: Portland, OR
10-05725	02/15/2012	Claimant(s): Keith Campbell Claimant Lawyers(s): Keith Anthony Campbell Respondent(s): Wells Fargo Advisors, Shannon Powers-Solomon Respondent Lawyers(s): Judy Louie Arbitrator(s): Robert A. Lombardi Hearing Site: Los Angeles, CA		$0
10-03416	02/14/2012	Claimant(s): Dianne Dingolo, Robert Dingolo Claimant Lawyers(s): R. Alan Fryer Respondent(s): Wells Fargo Advisors, Robert Maiocco Respondent Lawyers(s): Christopher P. Litterio Arbitrator(s): Sandor I. Rabkin, Thomas J. Nash, Thomas P. Bowman Hearing Site: Boston, MA		$370,880