Christopher Caputo v. Wells Fargo Advisors LLC

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Case overview

Case Number:

20-3059

Court:

Appellate - 3rd Circuit

Nature of Suit:

4896 Arbitration

Companies

Sectors & Industries:

  1. June 17, 2022

    3rd Circ. Won't Redo Wells Fargo Win Over $1.6M Award

    A former Wells Fargo Advisors LLC employee won't have another chance to overturn the $1.6 million Financial Industry Regulatory Authority arbitration award that the company won against him, after the full Third Circuit declined on Friday to rehear a panel's decision.

  2. May 09, 2022

    Ex-Wells Fargo Adviser Loses 3rd Circ. Fight On $1.6M Award

    The Third Circuit on Monday declined to throw out a $1.6 million Financial Industry Regulatory Authority arbitration award that Wells Fargo Advisors LLC won from a former employee, rejecting the ex-advisor's arguments that making him repay loans secured by his bonuses went against public policy.

  3. November 17, 2021

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

    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 public policy targeting illegal employment contract terms.

  4. November 05, 2021

    3rd Circ. Preview: Gun Ad Probe, 'Joke' Tweet Mark November

    Smith & Wesson and Aetna are among the companies that will turn to the Third Circuit this month to mount constitutional and confidentiality challenges, part of a lively docket that also includes labor and racketeering matters.