Ex-Wells Fargo Adviser Fights $1.6M FINRA Award At 3rd Circ.

By Jeannie O'Sullivan · November 17, 2021, 4:00 PM EST

A former Wells Fargo Advisors LLC employee urged the Third Circuit on Wednesday to undo a $1.6 million Financial Industry Regulatory Authority arbitration award the company won in a commission dispute, citing...

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Case Information

Case Title

Christopher Caputo v. Wells Fargo Advisors LLC

Case Number

20-3059

Court

Appellate - 3rd Circuit

Nature of Suit

4896 Arbitration

Date Filed

October 09, 2020