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FINRA Awards for Deirdre C. Wolff

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Displaying 10 out of 15 results
Case Number Award Date Case Summary Customer Case? Amount Granted
24-0005609/12/2024Claimant(s): Ronnie Lee Rozier
Claimant Lawyers(s): Ronnie L. Rozier
Respondent(s): Aubrey Parker, Wells Fargo Clearing Services, Rick Kent
Respondent Lawyers(s): Deirdre C. Wolff, Luis F. Mendez
Arbitrator(s): Robert H. Putnam, Andy W. Morgan, Sherri Lynne Kimmell
Hearing Site: Atlanta, GA
Checkmark IconDismissed by Rule 12504 and 12206
23-0285008/07/2024Claimant(s): Neil Collins
Claimant Lawyers(s): Brian Luther
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Jeffrey P. Petrucelly
Hearing Site: Boston, MA
19-0310204/07/2020Claimant(s): Nicole McGrouther
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Michael H DuBoff
Hearing Site: Newark, NJ
17-0149305/31/2018Claimant(s): Stephen Owen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Baltimore, MD
16-0123407/17/2017Claimant(s): Alan Rosenthal Family Trust
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): Wells Fargo Advisors, Russell Blum
Respondent Lawyers(s): Deirdre C. Wolff, Russell Scott Blum
Arbitrator(s): Edward W. Morris
Hearing Site: Hartford, CT
Checkmark IconExpungement
14-0046707/20/2016Claimant(s): Bruce Botts, Lynne Botts
Claimant Lawyers(s): Bruce Botts, Lynne Botts
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Bill Swinford, Jeffrey M. Bain, Harold Dean Tolbert
Hearing Site: Cincinnati, OH
Checkmark IconExpungement
15-0175707/18/2016Claimant(s): John Long
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Keith Roberts
Hearing Site: New York, NY
Checkmark Icon$0
14-0043902/08/2016Claimant(s): Richard Kingery
Claimant Lawyers(s): William B. Young
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Mark A. Myers, Stephen B. Agricola, James L. Warren
Hearing Site: Birmingham, AL
Checkmark IconExpungement
13-0273902/02/2015Claimant(s): Edward Kraus, Sandra Kraus
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): Carlos Dominguez, Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff, Walter L. Baumgardner
Arbitrator(s): Judith Stilz Ogden, John D. Mattingly, Yvette L. Nurse
Hearing Site: Atlanta, GA
Checkmark IconExpungement
14-0157912/23/2014Claimant(s): Jonathan Phillips
Claimant Lawyers(s): Gilbert C. Laite
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Lynne T. Albert, Michael J. Henke, Stephen Gregg Ellis
Hearing Site: Raleigh, NC

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