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FINRA Awards for Wells Fargo Advisors

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Displaying 871-880 out of 967 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0470204/11/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Michael Sonnichsen
Respondent Lawyers(s): David J. Hase
Arbitrator(s): Herbert H. Neuer
Hearing Site: Milwaukee, WI
09-0600603/25/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): John Faircloth
Respondent Lawyers(s): John E. Faircloth
Arbitrator(s): William A. Collison, Donita M. King, Lester Neal Ellis
Hearing Site: Raleigh, NC
09-0705903/24/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Jeffrey Davis
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): James D. Knotter
Hearing Site: Los Angeles, CA
10-0422203/24/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn Lamar
Respondent(s): Robert Mullen
Respondent Lawyers(s): Robert Bryan Mullen
Arbitrator(s): Thaddeus J. Tecza
Hearing Site: Denver, CO
10-0057103/24/2011Claimant(s): Timothy M. Moses
Claimant Lawyers(s): Robert L. Isaacs
Respondent(s): Wells Fargo Advisors, Virginia Bowie
Respondent Lawyers(s): Andrew Park
Arbitrator(s): Donita M. King
Hearing Site: Richmond, VA
Checkmark IconExpungement
10-0539703/23/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Gary Headding
Respondent Lawyers(s): Gary Headding
Arbitrator(s): Robert S. McConnell
Hearing Site: Los Angeles, CA
10-0421403/15/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn Lamar
Respondent(s): William Holleran
Respondent Lawyers(s): William James Holleran
Arbitrator(s): Marc H. Schtul
Hearing Site: Denver, CO
10-0118403/11/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen Burns
Respondent(s): Justin Silberman
Respondent Lawyers(s): William Ray Ford
Arbitrator(s): Ronald P. Wertheim
Hearing Site: Washington, DC
10-0237703/11/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Max Jaffee
Respondent Lawyers(s): Max Jaffee
Arbitrator(s): Gary M. Landau
Hearing Site: Boca Raton, FL
09-0573603/10/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Matthew Mall
Respondent(s): Clifford Watts
Respondent Lawyers(s): Matthew K. Rogers
Arbitrator(s): Richard H. Potter, Richard Timothy Curran, Frank V. Tutone
Hearing Site: Charlotte, NC

967 Results

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