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FINRA Awards for Wells Fargo Clearing Services

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Displaying 441-450 out of 468 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0149305/31/2018Claimant(s): Stephen Owen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Baltimore, MD
17-0248805/21/2018Claimant(s): Mark Seto
Claimant Lawyers(s): Trent M. Latta
Respondent(s): Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts, Thomas F. Kopshever
Arbitrator(s): Joseph C. Roberts, Michael J. Busch, David William Hickman
Hearing Site: Seattle, WA
18-0015105/16/2018Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Craig Stein
Respondent(s): Wayne Babst
Respondent Lawyers(s): Wayne Stephen Babst
Arbitrator(s): Muriel Desloovere
Hearing Site: Tampa, FL
17-0274505/09/2018Claimant(s): James Vreeland, Robert K. Lewis Irrevocable Trust
Claimant Lawyers(s): James P. Vreeland, Pandora Vreeland
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): T.R. Bynum
Arbitrator(s): Langfred W. White
Hearing Site: Nashville, TN
Checkmark IconDismissed by Rule 12206
17-0118105/02/2018Claimant(s): Michael Garrett
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Christine L. Stetson
Hearing Site: New Orleans, LA
Checkmark IconExpungement
17-0297204/24/2018Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Andrew Park
Respondent(s): Heath Harris
Respondent Lawyers(s): Heath Justin Harris
Arbitrator(s): Patricia H. Latham
Hearing Site: Washington, DC
17-0229504/17/2018Claimant(s): Matthew Turner
Claimant Lawyers(s): Eric Litow
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Mitchel Weiss
Hearing Site: Jacksonville, FL
17-0272504/12/2018Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Quan Luu
Respondent Lawyers(s): Quan The Luu
Arbitrator(s): James A. Parker
Hearing Site: Houston, TX
17-0272704/03/2018Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Anthony Bui
Respondent Lawyers(s): Anthony Thuy Bui
Arbitrator(s):
Hearing Site: Houston, TX
18-0005504/03/2018Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Jason Sullivan
Respondent Lawyers(s): Jason David Sullivan
Arbitrator(s): Maurice M. Feller
Hearing Site: Orlando, FL

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