FINRA Awards for David Rosenberg

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
18-00949	09/19/2018	Claimant(s): Anne Gagnon, David Rosenberg Claimant Lawyers(s): Mark S. Gregory Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Nuviah Shirazi Arbitrator(s): Howard L. Sobel Hearing Site: New York, NY
17-00306	08/15/2017	Claimant(s): David Rosenberg Claimant Lawyers(s): Mark S. Gregory Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Nuviah Shirazi Arbitrator(s): William G. Binckes Hearing Site: New York, NY
17-00146	06/30/2017	Claimant(s): David Rosenberg Claimant Lawyers(s): Mark S. Gregory Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Nuviah Shirazi Arbitrator(s): Joan M. Traub Hearing Site: New York, NY
13-01254	12/06/2013	Claimant(s): Benjamin C. Ritter Jr and Nina Ritter JT Claimant Lawyers(s): John L. Allen Respondent(s): Anne Gagnon, Wells Fargo Securities Inc., Wells Fargo Advisors Financial Network, Wells Fargo Advisors, David Rosenberg, Wells Fargo Securities Respondent Lawyers(s): Nuviah Shirazi Arbitrator(s): Robert E. Anderson, Joseph I. Liebman, Ronald J. Colombo Hearing Site: New York, NY		Expungement