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FINRA Awards for Wells Fargo Institutional Securities LLC

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0374305/08/2012Claimant(s): Donna Wagner, Richard Wagner, R.L.WagnerTrust-Richard Wagner Trustee
Claimant Lawyers(s): James R. Ebert, William A. Malis
Respondent(s): Wells Fargo Investments, Wells Fargo Brokerage Services, L.L.C., Wells Fargo Institutional Securities LLC
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): Kenneth I. Rosenblum, Gerald F. Corrigan, Richard M. Norman
Hearing Site: Los Angeles, CA
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