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FINRA Awards for Elizabeth Dye Battaglia

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0317503/23/2023Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): G. Thomas Fleming
Respondent(s): Robert Dressler, Yuen Lin Chan
Respondent Lawyers(s): G. Thomas Fleming, Neil L. Henrichsen
Arbitrator(s): Daniel M. Yamshon, Clifford A. Threlkeld, Elizabeth Dye Battaglia
Hearing Site: San Francisco, CA

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