FINRA Awards for Wells Fargo Advisors

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Displaying 71-80 out of 967 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
16-01151	12/27/2017	Claimant(s): Paul Sussman Claimant Lawyers(s): Kristian P. Kraszewski Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Will Murphy Hearing Site: Boca Raton, FL		Expungement
17-00789	12/22/2017	Claimant(s): Michael Biggs Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Deirdre Wolff Arbitrator(s): James A. McIntosh Hearing Site: Nashville, TN
16-03204	12/20/2017	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Kenneth O'Connor Respondent(s): Dudley Stephens Respondent Lawyers(s): Dudley Franklin Stephens Arbitrator(s): James M. Rhodes Hearing Site: New York, NY
16-01842	12/19/2017	Claimant(s): David Bennette Claimant Lawyers(s): Ryan K. Bakhtiari Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Eric M. Steinert Arbitrator(s): Elmo E. Wedderburn, Michael Lancaster Garcia, D. Peter Gleichenhaus Hearing Site: San Francisco, CA
16-03228	12/18/2017	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Gregory Tendrich Respondent(s): Kelley Sullivan Respondent Lawyers(s): W. Scott Turnbull Arbitrator(s): William E. Schneider Hearing Site: Boca Raton, FL
14-01267	12/15/2017	Claimant(s): Mark Aigner Claimant Lawyers(s): Jeffrey L. Liddle Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Miriam G. Bahcall Arbitrator(s): Doris H. Geck, Marilee Roberg, Frank A. Dusek Hearing Site: Chicago, IL
17-00116	12/14/2017	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Jack D. Ballard Respondent(s): Justin Ward Respondent Lawyers(s): Justin Garrett Ward Arbitrator(s): Eric R. Benton Hearing Site: Houston, TX
16-02191	12/12/2017	Claimant(s): Elaine Nester Claimant Lawyers(s): Benjamin Lapin Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Deirdre Wolff Arbitrator(s): Joseph J. Arata Hearing Site: New York, NY		Expungement
17-01464	12/11/2017	Claimant(s): Joseph Bancheri, Michael Lupton Claimant Lawyers(s): Scott Holcomb Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): J. Burke McCormick Arbitrator(s): Joan M. Traub, Annamaria Boccia Smith, Sean F. Monahan Hearing Site: New York, NY
16-02314	11/22/2017	Claimant(s): Robert Leech, Robert W. Leech IRA, The Leech Family Trust Claimant Lawyers(s): Tom Leech Respondent(s): Wells Fargo Advisors, Morgan Stanley Respondent Lawyers(s): Lesley V. Tepper, Michael Naccarato Arbitrator(s): John J. Flynn, Kevin C. Coleman, Clifford A. Threlkeld Hearing Site: San Francisco, CA		Expungement