Arbitration Awards Online

Displaying 1 - 15 of 99
Award ID Case Summary Document Type Forum Date of Awardsort ascending
15-03495
Claimant(s): Sefferino Guerrera, Sefferino Guerrera IRA
Claimant Representative(s): Jonathan W. Evans
Respondent(s): Wells Fargo Advisors, LLC, Wells Fargo Investments, LLC, David Kakuda, Morgan Stanley
Respondent Representative(s): Judy Louie, Kitoh Grey
Neutral(s): Thomas R. Watkins
Hearing Site: Los Angeles, CA
Award FINRA 11/16/2016
16-02028
Claimant(s): Wells Fargo Advisors, LLC
Claimant Representative(s): Jack D. Ballard
Respondent(s): Emilio Guajardo
Respondent Representative(s): Emilio Guajardo
Neutral(s): Allan R. Lazor
Hearing Site: Houston, TX
Award FINRA 11/14/2016
16-02028
Claimant(s): Wells Fargo Advisors, LLC
Claimant Representative(s): Jack D. Ballard
Respondent(s): Emilio Guajardo
Respondent Representative(s): Emilio Guajardo
Neutral(s): Allan R. Lazor
Hearing Site: Houston, TX
Award FINRA 11/14/2016
14-01285
Claimant(s): Wells Fargo Advisors, LLC
Claimant Representative(s): Charles N. Bland
Respondent(s): Shannon Powers-Solomon
Respondent Representative(s): Stephen J. Wiard
Neutral(s): Richard J. Stall, Olivia J. Valentine, Kenneth Paul Strongman
Hearing Site: Los Angeles, CA
Award FINRA 11/11/2016
15-00516
Claimant(s): Wells Fargo Advisors, LLC
Claimant Representative(s): Jamie L. Helman
Respondent(s): Scott Fox
Respondent Representative(s): Scott Fox
Neutral(s): Sanford S. Stevens
Hearing Site: New York, NY
Award FINRA 10/28/2016
15-00235
Claimant(s): Estate of Daniel Drummond
Claimant Representative(s): Andrew D. Gowdown
Respondent(s): Charles James, Wells Fargo Advisors, LLC
Respondent Representative(s): Stephen M. Cox
Neutral(s): Robert A. Dean, Dana Tait Sandlin, Richard James Igou
Hearing Site: Columbia, SC
Award FINRA 10/24/2016
15-00875
Claimant(s): Wells Fargo Advisors, LLC
Claimant Representative(s): Thomas B. Lewis
Respondent(s): Eric Zakarin
Respondent Representative(s): James Halter
Neutral(s): Julian F. Santos, Stanley M. Lenkowicz, Veronica Ann Williams
Hearing Site: Newark, NJ
Order to Confirm FINRA 10/21/2016
15-00875
Claimant(s): Wells Fargo Advisors, LLC
Claimant Representative(s): Thomas B. Lewis
Respondent(s): Eric Zakarin
Respondent Representative(s): James Halter
Neutral(s): Julian F. Santos, Stanley M. Lenkowicz, Veronica Ann Williams
Hearing Site: Newark, NJ
Award FINRA 10/21/2016
16-01545
Claimant(s): Wells Fargo Advisors Financial Network
Claimant Representative(s): Christopher S. Griesmeyer
Respondent(s): Brian Bischoff
Respondent Representative(s): Brian R. Bischoff
Neutral(s): Terry F. Peppard
Hearing Site: Indianapolis, IN
Award FINRA 10/21/2016
15-00875
Claimant(s): Wells Fargo Advisors, LLC
Claimant Representative(s): Thomas B. Lewis
Respondent(s): Eric Zakarin
Respondent Representative(s): James Halter
Neutral(s): Julian F. Santos, Stanley M. Lenkowicz, Veronica Ann Williams
Hearing Site: Newark, NJ
Motion to Vacate FINRA 10/21/2016
15-02988
Claimant(s): Caren Kramer
Claimant Representative(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors, LLC
Respondent Representative(s): Michael Naccarato
Neutral(s): Joseph I. Liebman
Hearing Site: New York, NY
Award FINRA 10/20/2016
15-02904
Claimant(s): Susanne McInnis
Claimant Representative(s): Matthew H Bryant
Respondent(s): John Hutchinson
Respondent Representative(s): Michael Naccarato
Neutral(s): Susan L. Luck
Hearing Site: Charlotte, NC
Award FINRA 10/18/2016
16-00455
Claimant(s): Blanca Gomez de Hernandez
Claimant Representative(s): David Levine
Respondent(s): Wells Fargo Advisors, LLC, Jorge Hernandez, Maria Batchelor
Respondent Representative(s): Jorge Hernandez, Patricia E. Cowart, Robert W. Pearce
Neutral(s): Steven N. Ainbinder, Lawrence Zenville Rosenberg, Gary Frederick Birnberg
Hearing Site: Boca Raton, FL
Award FINRA 10/17/2016
16-00455
Claimant(s): Blanca Gomez de Hernandez
Claimant Representative(s): David Levine
Respondent(s): Wells Fargo Advisors, LLC, Jorge Hernandez, Maria Batchelor
Respondent Representative(s): Jorge Hernandez, Patricia E. Cowart, Robert W. Pearce
Neutral(s): Steven N. Ainbinder, Lawrence Zenville Rosenberg, Gary Frederick Birnberg
Hearing Site: Boca Raton, FL
Motion to Vacate FINRA 10/17/2016
16-00455
Claimant(s): Blanca Gomez de Hernandez
Claimant Representative(s): David Levine
Respondent(s): Wells Fargo Advisors, LLC, Jorge Hernandez, Maria Batchelor
Respondent Representative(s): Jorge Hernandez, Patricia E. Cowart, Robert W. Pearce
Neutral(s): Steven N. Ainbinder, Lawrence Zenville Rosenberg, Gary Frederick Birnberg
Hearing Site: Boca Raton, FL
Order to Confirm FINRA 10/17/2016

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