Arbitration Awards Online

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Award ID Case Summary Document Type Forum Date of Awardsort ascending
Claimant(s): Mark Schroeder
Claimant Representative(s): Chad C. Beaver
Respondent(s): Wachovia Securities Financial Network, Wells Fargo Advisors, LLC, Jeffrey Holloway, First Clearing, LLC, Sean Harman, Timothy Tadlock, Holloway and Harman Capital Management,
Respondent Representative(s): Michael Naccarato
Neutral(s): Joseph R. Soraghan, Michael D. Fitzgerald, Dennis Shrewsbury
Hearing Site: Kansas City, MO
Award FINRA 06/16/2016