| 20-03515 | 02/28/2022 | Claimant(s): Aaron Olson
Claimant Lawyers(s): Thomas Momjian
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Victor L. Hayslip
Arbitrator(s): Frank E. Wolf, Richard E. Miley, Helen Elizabeth Hester
Hearing Site: Charlotte, NC
| | |
| 20-00285 | 10/05/2020 | Claimant(s): Charles Collins
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): John Marky, Network 1 Financial Securities Inc.
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Frank E. Wolf
Hearing Site: Charlotte, NC
|  | $300 |
| 17-02218 | 05/10/2018 | Claimant(s): Walter Martin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Damian J. Betz
Arbitrator(s): Frank E. Wolf
Hearing Site: Charlotte, NC
| | |
| 16-03376 | 12/06/2017 | Claimant(s): Randy Wiles
Claimant Lawyers(s): Randy Dale Wiles
Respondent(s): Frank Beals
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): John A. Baynes, Susan L. Luck, Frank E. Wolf
Hearing Site: Charlotte, NC
| | $0 |
| 16-02566 | 10/13/2017 | Claimant(s): Scott Kudrick
Claimant Lawyers(s): Richard Slavin
Respondent(s): Realty Capital Securities
Respondent Lawyers(s): Michael Shuckerow
Arbitrator(s): Sharon L. Monroe, Robert E. Anderson, Frank E. Wolf
Hearing Site: Manchester, NH
| | |
| 13-03766 | 10/02/2015 | Claimant(s): Ann Cole
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Sandra Gale Behrle, Frank E. Wolf, William M Peters
Hearing Site: Montpelier, VT
| | Expungement |
| 14-00765 | 05/19/2015 | Claimant(s): New York State Professional Fire Fighter
Claimant Lawyers(s): Joseph M . Dougherty
Respondent(s): Wells Fargo Advisors, Lawrence Natale, Patrick Lane, Tracy Martuscello
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Catherine Ladnier, Frank E. Wolf, Clifford C. Rohde
Hearing Site: Albany, NY
| | Expungement |
| 14-00763 | 10/17/2014 | Claimant(s): Peggy Sheriff
Claimant Lawyers(s): Peggy Sheriff
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Jannie Lucas
Arbitrator(s): Frank E. Wolf
Hearing Site: Augusta, ME
| | $0 |
| 12-00053 | 10/18/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John Michael Riordan
Respondent(s): Brett Stickney
Respondent Lawyers(s): John R. Kiefner
Arbitrator(s): Louis H. Miron, Frank E. Wolf, Jacqueline Marie Pierre
Hearing Site: Montpelier, VT
| | |
| 11-00303 | 06/03/2013 | Claimant(s): John Paul Rouleau & Margaret C. Rouleau
Claimant Lawyers(s): John F. Nicholls
Respondent(s): Wells Fargo Advisors, David Johns
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Samuel H. Chorches, Frank E. Wolf, Patrick W. McKeon
Hearing Site: Montpelier, VT
| | $0 |
