Securities
Breach of Contract
Failure to Supervise
Paul Stiehl and Patricia Stiehl v. Wells Fargo Advisors LLC and Leland Cary, II
Published: Mar. 28, 2015 | Result Date: Feb. 12, 2015 | Filing Date: Jan. 1, 1900 |Case number: 14-02179 Arbitration – Respondent
Facts
Paul Stiehl and Patricia Stiehl filed a complaint against Wells Fargo Advisors LLC and Leland Cary, concerning unspecified securities.
Contentions
CLAIMANTS' CONTENTIONS:
Claimants asserted claims for breach of contract, failure to supervise, negligence, failure to execute, failure to transfer, refusal to backdate account transfer to permit sales, misrepresentations, and omission of facts.
Injuries
Claimants requested $45,017 in compensatory damages plus costs.
Result
The arbitrator denied claimants' claims in their entirety.
Other Information
FILING DATE: July 9, 2014.
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