| 15-02128 | 11/23/2016 | Claimant(s): Kristin Ng
Claimant Lawyers(s): Brittany Weiner
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Alice E. Winkler
Hearing Site: New York, NY
| | |
| 13-02964 | 08/03/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sandra D. Grannum
Respondent(s): Robert Loftus
Respondent Lawyers(s): James Halter
Arbitrator(s): Joan Caridi, Ann C. Northern, Bernard A. Friedman
Hearing Site: New York, NY
| | |
| 15-00138 | 05/31/2016 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Sandra D. Grannum
Respondent(s): James Venditti
Respondent Lawyers(s): James Frederick Venditti
Arbitrator(s): Ann C. Northern
Hearing Site: Hartford, CT
| | |
| 14-01312 | 08/11/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sandra D. Grannum
Respondent(s): Nick Hsieh
Respondent Lawyers(s): Thomas J. McCabe
Arbitrator(s): Richard W. Cutler, Michele S. Riley, Mark J. Happe
Hearing Site: New York, NY
| | |
| 13-03175 | 11/12/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sandra D. Grannum
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | |
| 12-03881 | 03/18/2014 | Claimant(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
|  | Expungement |
| 12-02131 | 01/28/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sandra D. Grannum
Respondent(s): Kevin Mercer
Respondent Lawyers(s): Kevin Mercer
Arbitrator(s): Mary Lou McGanney
Hearing Site: New York, NY
| | |
| 12-00288 | 05/01/2013 | Claimant(s): Robert Fenyk
Claimant Lawyers(s): Norman E. Watts
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Ronald L. Cheney, Susan E. Maloney, Morton S. Bunis
Hearing Site: Boston, MA
| | |
| 10-01441 | 02/13/2013 | Claimant(s): Joseph Vaccaro
Claimant Lawyers(s): Ruthann G. Niosi
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Sam Antar, Arthur H. Sobel, Lester Scott Garfinkel
Hearing Site: New York, NY
| | |
| 11-02710 | 12/11/2012 | Claimant(s): Rebecca Ann Storniolo-Co-Trustee & Benef
Claimant Lawyers(s): George L. Mahr
Respondent(s): Bruce Fadem, Dennis Stanek, Glenn Montgomery, RBC Dain Rauscher.
Respondent Lawyers(s): Sandra D. Grannum, Thomas D. Flinn
Arbitrator(s): Kip C. Lubcke, Morton S. Bunis, Jodi A. Hopkinson
Hearing Site: Newark, NJ
| | Expungement |
