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Ex-Wells Fargo Advisors Employee Wins Promissory Note Arbitration

A FINRA arbitration panel in New York City last week denied Wells Fargo Advisors’ claim against a former employee, Evan A. Sall, for breach of a promissory note. Wells Fargo Advisors filed the arbitration in 2013, seeking $77,693, plus interests, costs, and attorneys’ fees for the balance of the unpaid promissory note.

Sall joined Wells Fargo Advisors in October 2009. He left Wells Fargo Advisors in September 2011 to join Chase Investment Services.

According to the award, Sall argued that his note balance should be offset by money allegedly owed to him for a bonus he claims was never paid to him. One of the three arbitrators that heard the matter, David E. Robbins, dissagreed with the other two arbitrators on the panel. Robbins stated that Sall’s defense of a set off (the claim of an unpaid bonus) was not proven sufficiently to mitigate or offset Wells Fargo Advisors’ claim.

Michael Kalmus represented Sall and Christopher Griesmeyer represented Wells Fargo Advisors. The final hearing occurred on August 27, 2014 and lasted just one day. The arbitrators split the hearing fees between the parties equally.

A copy of the arbitration award, Case No. 13-01895, is embedded below.

[scribd id=241365219 key=key-oLyMYTo0rFpI5JhbzeSU mode=scroll]

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