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FINRA Awards for Wells Fargo Advisors

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Displaying 771-780 out of 967 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0073601/06/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Kelly Hosek
Respondent Lawyers(s): Michael F. Marlow
Arbitrator(s): David A. Youngerman, Hugh J. Perry, Hollie M. Mason
Hearing Site: Omaha, NE
10-0550301/05/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen Burns
Respondent(s): William Fraley
Respondent Lawyers(s): William C. Fraley
Arbitrator(s): Mark A. Myers, Daniel T. Hull, Suzette Merriam Foster
Hearing Site: Birmingham, AL
11-0043701/04/2012Claimant(s): Mark Stepper
Claimant Lawyers(s): Michael H. Klein
Respondent(s): Barry Zuckerberg, Wells Fargo Advisors, Michael Tuozzoli, Paul Sheldon
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Edith M. Novack
Hearing Site: Newark, NJ
Checkmark IconExpungement
10-0199412/30/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Michael Zenick
Respondent Lawyers(s): Michael David Schimek
Arbitrator(s): Gilbert F. Bach, Barry S. Jacobson, Michele S. Riley
Hearing Site: New York, NY
10-0323012/29/2011Claimant(s): Barbara Sanborn
Claimant Lawyers(s): Jeffrey L. Cox
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Marilyn G. Moran
Arbitrator(s): Gloria O. North, Mary H. Cory, Judith Ann Ripps
Hearing Site: Boca Raton, FL
10-0496412/27/2011Claimant(s): Rita Lois Robinson Trust
Claimant Lawyers(s): Andrew D Gowdown
Respondent(s): Wells Fargo Advisors, John Hodson
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): J. Kirkland Grant, Susan J. Buckley, Robert P. Porter
Hearing Site: Columbia, SC
Checkmark Icon$0
10-0527612/23/2011Claimant(s): John Puglisi
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Lori H. Carena
Hearing Site: New York, NY
Checkmark IconExpungement
10-0519812/22/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Derek Miller
Respondent Lawyers(s): Derek L. Miller
Arbitrator(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
10-0179312/20/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Rick Hansen
Respondent Lawyers(s): Stephen F. Boutin
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
11-0194212/19/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica G. Klein
Respondent(s): Russell Hart
Respondent Lawyers(s): James D. Skaar
Arbitrator(s): William M. Getzoff
Hearing Site: Chicago, IL

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