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FINRA Awards for Louis P. Wagman

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Displaying 10 out of 20 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0375101/14/2022Claimant(s): Elizabeth Baucom, Richard Baucom, Richard Baucom IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Guillermo L. Bosch, Mary L. Sims, Louis P. Wagman
Hearing Site: Philadelphia, PA
Checkmark IconDismissed by Rule 12206
21-0100710/19/2021Claimant(s): Edward Rupertus
Claimant Lawyers(s): Robert Kerrigan
Respondent(s): Christ Baltas
Respondent Lawyers(s): Christ Elias Baltas
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
Checkmark Icon$14,420
19-0099903/05/2021Claimant(s): Emily Sandusky
Claimant Lawyers(s): Richard Gerace
Respondent(s): David Lerner Associates., Jeffrey Zelka
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
Checkmark IconExpungement
19-0201306/12/2020Claimant(s): Lucy Schneiberg, Yuri Schneiberg
Claimant Lawyers(s): William W. Uchimoto
Respondent(s): Wells Fargo Clearing Services, Scott Kaminsky
Respondent Lawyers(s): Gerry Kowalski, Henry F. Reichner
Arbitrator(s): Cornelius C. Clancy, Louis P. Wagman, Harold Yaskin
Hearing Site: Philadelphia, PA
Checkmark Icon$0
19-0010204/07/2020Claimant(s): Jay Brandt
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Richard Coleman, Legend Securities.
Respondent Lawyers(s): Richard James Coleman, Salvatore C. Caruso
Arbitrator(s): Michael Fischetti, Robin David Bleecher, Louis P. Wagman
Hearing Site: Wilmington, DE
Checkmark Icon$110,913
17-0262012/05/2018Claimant(s): Dorothy Pariot, Dorothy H. Pariot Living Trust
Claimant Lawyers(s): Seth E Lipner
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Doris J. Dabrowski, Louis P. Wagman, Kathleen Jones Spilker
Hearing Site: Philadelphia, PA
Checkmark Icon$0
14-0324907/19/2018Claimant(s): Prime Properties of NY 1.
Claimant Lawyers(s): Kenneth B. Schwartz
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): David S. Richan
Arbitrator(s): Louis P. Wagman, Paul C. Tang, John Michael Bergin
Hearing Site: New York, NY
Checkmark Icon$0
15-0007008/04/2017Claimant(s): Estate of Margaret Riggs
Claimant Lawyers(s): Alan P. Fraade
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Advisors, Michael Tepperman
Respondent Lawyers(s): Zachary S. Knoblock
Arbitrator(s): Linda Ashley, Annamaria Boccia Smith, Louis P. Wagman
Hearing Site: New York, NY
Checkmark IconExpungement
15-0041309/10/2015Claimant(s): Jack Kagan
Claimant Lawyers(s): Jack J. Kagan
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Cassie D. Stroud
Arbitrator(s): Louis P. Wagman
Hearing Site: New York, NY
Checkmark Icon$38
14-0287407/28/2015Claimant(s): Mehmet Erkul
Claimant Lawyers(s): Mehmet Ercan Erkul
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Elliot Berman, Ronald F. Rosner, Louis P. Wagman
Hearing Site: New York, NY
Checkmark Icon$0

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