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FINRA Awards for Wells Fargo Advisors

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Displaying 891-900 out of 967 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0461102/17/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Kenneth Lannigan
Respondent Lawyers(s): Kenneth Lee Lannigan
Arbitrator(s): Robert H. Putnam
Hearing Site: Columbia, SC
10-0342902/11/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Nicole E. Stadelmaier
Respondent(s): Stephen Giella
Respondent Lawyers(s): Stephen Giella
Arbitrator(s): Deborah A. Jackson
Hearing Site: Columbia, SC
09-0521002/11/2011Claimant(s): Patricia Schluter
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Carlos Gonzalez, Wells Fargo Advisors
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Mark C. Perry, David Gerber, Ronald Kenneth Summers
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
09-0616802/10/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Peter Bell
Respondent Lawyers(s): Peter Wright Bell
Arbitrator(s): Michael M. Hachigian
Hearing Site: San Francisco, CA
10-0431001/28/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Joseph Morrow
Respondent Lawyers(s): Joseph Harold Morrow
Arbitrator(s): Sandor I. Rabkin
Hearing Site: Hartford, CT
10-0166601/26/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Scott Moore
Respondent Lawyers(s): Scott Randall Moore
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
10-0201501/19/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): James Van Dyke
Respondent(s): Peter Seibert
Respondent Lawyers(s): Steven Rosenberg
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
10-0301001/19/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jim Van Dyke
Respondent(s): Michael Gant
Respondent Lawyers(s): Michael Wayne Gant
Arbitrator(s): Terry F. Peppard
Hearing Site: Indianapolis, IN
10-0297001/13/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Patrick Yun
Respondent Lawyers(s): Joseph Bongiorno
Arbitrator(s): S. Charles Tabak
Hearing Site: Newark, NJ
10-0303601/04/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jim Van Dyke
Respondent(s): Michael Miller
Respondent Lawyers(s): J. Benjamin Dick
Arbitrator(s): Nelson I. Fishman
Hearing Site: Richmond, VA

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