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FINRA Awards for Charles Goldberg

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0069702/12/2020Claimant(s): Charles Goldberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
17-0339803/11/2019Claimant(s): The Estate of Kurt E. Dreyfuss
Claimant Lawyers(s): Steven M. Kaplan
Respondent(s): Benjamin De Angelis, Charles Goldberg, Morgan Stanley, Lane Katz
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Robert E. Riccobono, Richard Gee, Mitchell Regenbogen
Hearing Site: New York, NY
Checkmark IconExpungement

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