FINRA Awards for Mark O. Van Wagoner

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
16-02100	03/22/2018	Claimant(s): James Mirgliotta, The Estate of Bette Mirgliotta Claimant Lawyers(s): Robert J. Dubyak Respondent(s): Christopher Cervino, Larry Werbel, Wilson-Davis & Company. Respondent Lawyers(s): Christopher Michael Cervino, Larry Steven Werbel, Mark O. Van Wagoner Arbitrator(s): Michael S. Matek, Robert M Lustig, Kevin Brodar Hearing Site: Cleveland, OH		$845,000
15-00963	11/22/2016	Claimant(s): Carl Alexen, Kristy Crouch, Louis Morales, Luis Mendez, Marianne Kuzneski, Martha Phillips, Mary Steele, Michel Sanner, Mildred Jazmin, Mitsi Yoss, Phyllis Kuo, Sonia Johnson, Suzette Cohen, Timothy Wassil, Verna Papotta, Wesley Kuo, William Kuzneski, Christel Vincth IRA, Martha Phillips IRA, Ronald Turner IRA, et al Claimant Lawyers(s): Adam J. Gana, Adam J. Weinstein, Daniel Gwertzman Respondent(s): Wilson-Davis & Company. Respondent Lawyers(s): Mark O. Van Wagoner Arbitrator(s): Kenneth E. Owen, Eric Gad Forster, Daniel James Yee Hearing Site: Los Angeles, CA		$99,441