FINRA Awards for Wells Fargo Clearing Services

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Displaying 431-440 out of 483 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
18-02090	10/30/2018	Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Jessica Klein Respondent(s): Carter Brooks Respondent Lawyers(s): Carter Page Brooks Arbitrator(s): Tina E. Patterson Hearing Site: Richmond, VA
18-02074	10/29/2018	Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Miles D. Hart Respondent(s): John Leonard Respondent Lawyers(s): John Bradford Leonard Arbitrator(s): Tracy L. Allen Hearing Site: Detroit, MI
17-03061	10/24/2018	Claimant(s): Allen Rosenberg Claimant Lawyers(s): Owen Harnett Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Diane Ciccone Hearing Site: Philadelphia, PA
18-00942	10/23/2018	Claimant(s): William Oliver Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Stephen P. Hoffman Hearing Site: Charlotte, NC
17-03261	10/23/2018	Claimant(s): Greg Biddle, Karla Biddle Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Judy Louie Arbitrator(s): Marc Kalish Hearing Site: Phoenix, AZ		Expungement
18-00697	10/19/2018	Claimant(s): Michael Sullivan Claimant Lawyers(s): Dochtor Kennedy Respondent(s): A. G. Edwards & Sons., Wells Fargo Clearing Services Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Frank M. Romano Hearing Site: Houston, TX
18-02264	10/12/2018	Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Matthew P. Fischer Respondent(s): John Nielsen Respondent Lawyers(s): John C. Nielsen Arbitrator(s): I. Douglas Dunipace Hearing Site: Phoenix, AZ
18-02086	10/10/2018	Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Jessica Klein Respondent(s): Faine Beckerman Respondent Lawyers(s): Faine Paula Beckerman Arbitrator(s): John P. Cullem Hearing Site: Tampa, FL
15-02810	10/09/2018	Claimant(s): Bonnie Faleschini, David Plimpton, Randy Reinke, Richard Faleschini, Sally Redding, Susan Plimpton, Tim Redding Claimant Lawyers(s): Steven J. Weintraut Respondent(s): Charles Zajicek, Christopher Most, Wachovia Securities, Wells Fargo Advisors, Wells Fargo Clearing Services Respondent Lawyers(s): Miriam G. Bahcall Arbitrator(s): Steven R. Christensen, Michael F. Jordan, Steven M. Bialick Hearing Site: Minneapolis, MN		$430,000
18-00453	10/05/2018	Claimant(s): Brian Nelson Claimant Lawyers(s): Mark Wilson Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Geoff Beckham Arbitrator(s): Stephany Adriene Watson Hearing Site: Portland, OR