| 23-01721 | 09/10/2024 | Claimant(s): William Collier
Claimant Lawyers(s): William O. Collier
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Joyce A. Mitchell, David Paul Clark, David Ivan Brochstein
Hearing Site: Richmond, VA
|  | $0 |
| 23-03384 | 09/03/2024 | Claimant(s): Kenneth Grover
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services, Wells Fargo Securities
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Paul E. Dahlman, Eric Gad Forster, Richard Mathew Greenspan
Hearing Site: Salt Lake City, UT
| | $0 |
| 23-01087 | 08/27/2024 | Claimant(s): Scott Berenson
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Nancy J. Cliff, Richard Kuper, Nancy Rosenbaum Kessler
Hearing Site: Boca Raton, FL
| | Expungement |
| 23-01628 | 06/07/2024 | Claimant(s): George Koutsos, Alma Industries Inc., GJK Group
Claimant Lawyers(s): Richard Diorio
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services, Lawrence Burke
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Michael Jaffe, Ronald Harris Kisner, Gregg Lance Zeoli
Hearing Site: New York, NY
| | $0 |
| 23-01496 | 11/21/2023 | Claimant(s): Alfredo Fresno
Claimant Lawyers(s): Alfredo Fresno
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Darryl C. Wilson, Lorraine Naomi Pitre, Tyrone Nathaniel Watson
Hearing Site: Orlando, FL
| | Dismissed by Rule 12206 |
| 20-02205 | 09/27/2023 | Claimant(s): Sidney Kruger Living Trust
Claimant Lawyers(s): Jonathan Noble David
Respondent(s): Wells Fargo Advisors, Mara Schainuck, Sharon Miller
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Seth L. Finkel, Sydney E. Blum, Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-01009 | 12/22/2021 | Claimant(s): Cooperativa De Ahorro Y Credito Jayuya
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Richard James Igou, Hiram Lee Tanner, Hector R Lopez-Garcia
Hearing Site: San Juan, PR
| | Expungement |
| 18-00054 | 06/15/2020 | Claimant(s): Luciano Borgia
Claimant Lawyers(s): Luciano Borgia
Respondent(s): National Securities Corporation, Oppenheimer & Co..
Respondent Lawyers(s): Cory S. Zadanosky, Sara Soto
Arbitrator(s): Thomas W. Allen, John Joseph Long, Charles J Goldman
Hearing Site: Boca Raton, FL
| | $0 |
| 16-02528 | 05/20/2019 | Claimant(s): Carmen Macias, Pedro Diez, Pedro Diez Macias, Vissepo & Diez Construction Corp., Diez Macias 1 Trust, Pefedima Trust
Claimant Lawyers(s): Jeffrey Erez, Lloyd R. Schewd
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Roger C. Benson, Mauricio Arcadier, Robert Stewart Barney
Hearing Site: San Juan, PR
| | $7,839,130 |
| 16-01066 | 07/19/2018 | Claimant(s): Sammy Duncan, Sylvia Duncan, The Sammy and Sylvia Duncan Revocable Tr
Claimant Lawyers(s): Scott Abeles
Respondent(s): Wells Fargo Advisors, Marc Rogers
Respondent Lawyers(s): Sara Soto
Arbitrator(s): James F. Zotter, Robert David Miller, Matthew Swihart
Hearing Site: Portland, OR
| | $8,678,200 |
