| 23-01559 | 10/11/2024 | Claimant(s): Tyler Hanson, Raymond David Hanson Residuary Trust
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Thomas R. Dreiling, James E. Bartels, Dianna J. Caley
Hearing Site: Seattle, WA
|  | $0 |
| 24-01436 | 09/30/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Sara Soto
Respondent(s): Kevin Newmuis
Respondent Lawyers(s): Kevin Darnell Newmuis
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Philadelphia, PA
| | |
| 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 |
| 24-00207 | 05/08/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Sara Soto
Respondent(s): Robert Boyer
Respondent Lawyers(s): Robert Anthony Boyer
Arbitrator(s): Mark H. Stein
Hearing Site: Philadelphia, PA
| | |
| 23-02302 | 12/22/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Sara Soto
Respondent(s): Robert Tracy
Respondent Lawyers(s): Robert James Tracy
Arbitrator(s): David S. Billet
Hearing Site: Jersey City, NJ
| | |
| 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 |
