Potomac Analytics' Logo

FINRA Awards for Wells Fargo Clearing Services

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 11-20 out of 483 results
Case Number Award Date Case Summary Customer Case? Amount Granted
24-0143609/30/2024Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Sara Soto
Respondent(s): Kevin Newmuis
Respondent Lawyers(s): Kevin Darnell Newmuis
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Philadelphia, PA
23-0117009/26/2024Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Keith J. Barnett
Respondent(s): Wade Roberts
Respondent Lawyers(s): William R. Carlisle
Arbitrator(s): George Pinckney Shingler
Hearing Site: Atlanta, GA
24-0005609/12/2024Claimant(s): Ronnie Lee Rozier
Claimant Lawyers(s): Ronnie L. Rozier
Respondent(s): Aubrey Parker, Wells Fargo Clearing Services, Rick Kent
Respondent Lawyers(s): Deirdre C. Wolff, Luis F. Mendez
Arbitrator(s): Robert H. Putnam, Andy W. Morgan, Sherri Lynne Kimmell
Hearing Site: Atlanta, GA
Checkmark IconDismissed by Rule 12504 and 12206
22-0185209/04/2024Claimant(s): Yousef Bhatti
Claimant Lawyers(s): Wilmer D. Masterson
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Eric Ross Cromartie, Dianne Connally Betts, Michelle Prudhomme-Coleman
Hearing Site: Dallas, TX
23-0338409/03/2024Claimant(s): Kenneth Grover
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services, Wells Fargo Securities
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Paul E. Dahlman, Eric Gad Forster, Richard Mathew Greenspan
Hearing Site: Salt Lake City, UT
Checkmark Icon$0
23-0286008/30/2024Claimant(s): Paul Padovani
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Morgan Stanley, Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christopher M. Sacco, Kathryn D. Perreault, Trae D. Meyr
Arbitrator(s): Linda J. Baer
Hearing Site: New York, NY
24-0107908/23/2024Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Frank J. Cuccio
Respondent(s): Anthony Tassone
Respondent Lawyers(s): Anthony M. Tassone
Arbitrator(s): Thomas M. Madden
Hearing Site: Hartford, CT
23-0272408/22/2024Claimant(s): Paul Zoch
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffrey D. Rodgers
Arbitrator(s): Nancy J. Cliff
Hearing Site: Boca Raton, FL
24-0036708/22/2024Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Keith Barnett
Respondent(s): Eric Hall
Respondent Lawyers(s): Eric Kim Hall
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Indianapolis, IN
23-0285008/07/2024Claimant(s): Neil Collins
Claimant Lawyers(s): Brian Luther
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Jeffrey P. Petrucelly
Hearing Site: Boston, MA

483 Results

Display: