FINRA Awards for Wells Fargo Advisors

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Displaying 791-800 out of 967 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
10-05677	11/28/2011	Claimant(s): Cynthia Stirling, Cynthia L. Stirling IRA Rollover, Cynthia L. Stirling SEP IRA, Cynthia L. Stirling Living Trust, Cynthi Claimant Lawyers(s): James R. Walsh Respondent(s): Wells Fargo Advisors, James Dowley Respondent Lawyers(s): Philip A. McLeod Arbitrator(s): Helen Marinak Blohm, Mary Curran, Ferdinand Schoch Hearing Site: San Francisco, CA		$0
10-05160	11/18/2011	Claimant(s): Hang Bui Claimant Lawyers(s): Walter Birkel Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): David E. Strand Arbitrator(s): Joan M. Traub, Daniel P. Lund, Michael L.B. Kaplan Hearing Site: Newark, NJ
11-01444	11/18/2011	Claimant(s): Coleman Burns Claimant Lawyers(s): Coleman John Burns Respondent(s): Wells Fargo Advisors, Steven Perillo Respondent Lawyers(s): Brent J. Burtin Arbitrator(s): S. Charles Tabak Hearing Site: Newark, NJ		$283
10-05040	11/17/2011	Claimant(s): Florian Wisniewski, Marilyn Wisniewski Claimant Lawyers(s): Banjamin Lapin Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Alan S. Rafterman Arbitrator(s): Stephen C. Esposito Hearing Site: Chicago, IL		Expungement
11-00367	11/16/2011	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Renan I. Sugarman Respondent(s): Thomas Osborn Respondent Lawyers(s): Thomas Preston Osborn Arbitrator(s): Phillip Barry Wise, Allen D. Schwartz, Enrico A. Mazzoli Hearing Site: Louisville, KY
10-03824	11/16/2011	Claimant(s): Mary Daige Claimant Lawyers(s): Christopher J. Gray Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Judy Louie Arbitrator(s): Susan M. Thevenet Hearing Site: Albuquerque, NM		Expungement
11-01076	11/15/2011	Claimant(s): Estate of Lois E. Walker Claimant Lawyers(s): Peter F. Walker Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Deirdre Wolff Arbitrator(s): Frances Johnson Wright Hearing Site: Dallas, TX		$20,819
10-03084	11/11/2011	Claimant(s): Carolyn Smith, John Smith, Sr. (Annuity), Carolyn K. Smith IRA, John Edward Smith, Sr. IRA Claimant Lawyers(s): Eric E. Ludin Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Robert K. Jamieson Arbitrator(s): Alison Hardage, Muriel Desloovere, Jacquelyn M. Shannon Hearing Site: Tampa, FL		$55,861
10-05371	11/09/2011	Claimant(s): Judith Schmitt Claimant Lawyers(s): Christopher McHallam Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Christopher P. Litterio Arbitrator(s): Arthur J. Giacomarra, William I. Carmen, Susan Largay Hearing Site: Boston, MA		$0
10-00274	11/08/2011	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Mary Jo Cantu Respondent(s): Allen Isenberg Respondent Lawyers(s): Allen R. Isenberg Arbitrator(s): Mark A. Myers Hearing Site: Dallas, TX