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FINRA Awards for Sara Soto

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Displaying 11-20 out of 36 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0002005/05/2023Claimant(s): Bryan Sullivan
Claimant Lawyers(s): Ruth I. Major
Respondent(s): Wells Fargo Clearing Services, Robert Wellford
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
22-0245503/10/2023Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Sara Soto
Respondent(s): Michael Boring
Respondent Lawyers(s): Michael Miller Boring
Arbitrator(s): Julian F. Santos
Hearing Site: Wilmington, DE
20-0100912/22/2021Claimant(s): Cooperativa De Ahorro Y Credito Jayuya
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Richard James Igou, Hiram Lee Tanner, Hector R Lopez-Garcia
Hearing Site: San Juan, PR
Checkmark IconExpungement
18-0005406/15/2020Claimant(s): Luciano Borgia
Claimant Lawyers(s): Luciano Borgia
Respondent(s): National Securities Corporation, Oppenheimer & Co..
Respondent Lawyers(s): Cory S. Zadanosky, Sara Soto
Arbitrator(s): Thomas W. Allen, John Joseph Long, Charles J Goldman
Hearing Site: Boca Raton, FL
Checkmark Icon$0
16-0252805/20/2019Claimant(s): Carmen Macias, Pedro Diez, Pedro Diez Macias, Vissepo & Diez Construction Corp., Diez Macias 1 Trust, Pefedima Trust
Claimant Lawyers(s): Jeffrey Erez, Lloyd R. Schewd
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Roger C. Benson, Mauricio Arcadier, Robert Stewart Barney
Hearing Site: San Juan, PR
Checkmark Icon$7,839,130
16-0106607/19/2018Claimant(s): Sammy Duncan, Sylvia Duncan, The Sammy and Sylvia Duncan Revocable Tr
Claimant Lawyers(s): Scott Abeles
Respondent(s): Wells Fargo Advisors, Marc Rogers
Respondent Lawyers(s): Sara Soto
Arbitrator(s): James F. Zotter, Robert David Miller, Matthew Swihart
Hearing Site: Portland, OR
Checkmark Icon$8,678,200
17-0096406/05/2018Claimant(s): Edward Collins
Claimant Lawyers(s): Philip C . Semprevivo
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Sara Soto
Arbitrator(s): David I. Goldblatt, Lynne M. Reid-McQueen, Mark J. Happe
Hearing Site: New York, NY
15-0342103/20/2018Claimant(s): Antonio Gnocchi Franco, A.G. Franco Law Off. Pension Plan 1/1/89
Claimant Lawyers(s): Melanie S. Cherdack
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Randi Perry Spallina, Sara Soto
Arbitrator(s): Lawrence S. Silver, Gilbert A. Schnirman, Will Murphy
Hearing Site: Miami, FL
Checkmark Icon$270,639
16-0281511/09/2017Claimant(s): Francis Bevenour
Claimant Lawyers(s): Francis Merle Bevenour
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Sara Soto
Arbitrator(s): James David Askren, Sherri Lynne Kimmell, Frank (Francis) Eugene Roedl
Hearing Site: Atlanta, GA
16-0200010/13/2017Claimant(s): National Steel & Copper Plate Co.., Jon R. Marden Living Trust
Claimant Lawyers(s): Adam T. Rabin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sara Soto
Arbitrator(s): David Rich, Andrea R. Jacobs, John B. Sochacki
Hearing Site: Boca Raton, FL
Checkmark IconExpungement

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