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FINRA Awards for Alan S. Rafterman

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Displaying 6 out of 6 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0331808/29/2017Claimant(s): Thomas Moran
Claimant Lawyers(s): Craig Stein
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Bruce K. Isenberg, Donald Theodore Ryce, Jay Eng
Hearing Site: Boca Raton, FL
15-0334701/23/2017Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alan S. Rafterman
Respondent(s): Jeffrey Gianelli
Respondent Lawyers(s): Jeffrey Joseph Gianelli
Arbitrator(s): Sandor I. Rabkin
Hearing Site: Boston, MA
14-0138006/05/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alan S. Rafterman
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Tom L. Peterson
Hearing Site: Boston, MA
14-0179604/06/2015Claimant(s): Thomas Moran
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Elena G. Rodriguez, Robert J. Bender, Paul J. Burkhart
Hearing Site: Boca Raton, FL
14-0248203/17/2015Claimant(s): Michael Scongerella
Claimant Lawyers(s): Brittany Weiner
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
14-0084912/10/2014Claimant(s): Michael Ovitt
Claimant Lawyers(s): Barry M. Bordetsky
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Martin Jay Siegel
Hearing Site: New York, NY

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