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FINRA Awards for Dorothy Waxman

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0388103/18/2014Claimant(s): Barton Waxman, Dorothy Waxman
Claimant Lawyers(s): Seth Huberman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Pamela H. Roderick, Angela Lourdes Ortiz
Hearing Site: New York, NY
Checkmark IconExpungement

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