Wells Fargo Advisors v. Fernandez
Appellant Wells Fargo Advisors, LLC (Wells Fargo) appeals from a judgment confirming an arbitration award (Code Civ. Proc. §§ 1294 & 904.1, subd. (a)(2)). The arbitration decided a claim filed by respondent Aldrich J. Fernandez against Wachovia Securities, LLC, a predecessor of Wells Fargo. Fernandez filed his claim to recover funds lost in his brokerage account due to alleged breach of fiduciary duty by his broker. The arbitration was held before a panel appointed by the Financial Industry Regulatory Authority (FINRA) and was heard in accordance with FINRA’s rules and procedures. The FINRA panel denied the claims made by Fernandez in their entirety and denied “[a]ny and all relief not specifically addressed herein . . . .”

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