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FINRA Awards for Brent Wolf

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0355703/30/2017Claimant(s): Alice Caputo, Antonio Gonzalez, Belia Gonzalez, Grace Magdaluyo, Gwen Shelton, Ken Mainville, Maria Lew, Marta Eckert, Marty Grogan, Robin Logan, Terry Rhoades
Claimant Lawyers(s): Frank F. Sommers
Respondent(s): Brent Wolf, Royal Alliance Associates., Kathleen Tarr, Richard Mccollam
Respondent Lawyers(s): Paul W. Thomas, Theodore J. Sawicki, William P. Keith
Arbitrator(s): Carl B. Noelke, Ronald Chun, Arocles Aguilar
Hearing Site: San Francisco, CA
Checkmark IconExpungement
14-0172404/26/2016Claimant(s): Evelyn Johnson, Feliciano Dizon, Frank DiGrande, Harriett Eubanks, Marina Bautista, Trilby DiGrande
Claimant Lawyers(s): Andrew H. Schwartz, Frank F. Sommers
Respondent(s): Brent Wolf, Royal Alliance Associates., Kathleen Tarr, Richard McCollam
Respondent Lawyers(s): Paul W. Thomas, Scott L. Metzger, Theodore J. Sawicki
Arbitrator(s): Joseph H. Sturdivant, Amy Seltzer, Jeffrey M. Allen
Hearing Site: San Francisco, CA
Checkmark Icon$91,908
16-0012101/27/2016Claimant(s): Barbara Padilla, Douglas Beal, Joseph Lujan, Linda Rapella, Lori Palmquist, Mae Holloway, Marjorie Gillman, Marylou Oliver
Claimant Lawyers(s): Frank F. Sommers
Respondent(s): Brent Wolf
Respondent Lawyers(s): Scott L. Metzger
Arbitrator(s): Alexandra M. Linden, Thomas D. Reese, Peter H. Daly
Hearing Site: San Francisco, CA
Checkmark IconExpungement

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