| 14-03320 | 04/01/2015 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): Pete S. Michaels
Respondent(s): James Perry
Respondent Lawyers(s): James P. Perry
Arbitrator(s): Frank C. Fogl
Hearing Site: Pittsburgh, PA
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| 14-02222 | 03/27/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Robert Dunbar
Respondent Lawyers(s): Robert J Dunbar
Arbitrator(s): Frank C. Fogl
Hearing Site: Pittsburgh, PA
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| 12-04273 | 03/10/2014 | Claimant(s): Karen Cartwright
Claimant Lawyers(s): Shelly J. Todd
Respondent(s): Anthony Rocco, Richard Barron, Richard Spencer, Wesbanco Securities., Westbanco.
Respondent Lawyers(s): Douglas G. Smith
Arbitrator(s): Frank C. Fogl, Gregory P. Szuter, Paul E. von Geis
Hearing Site: Pittsburgh, PA
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| 12-04172 | 10/25/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex Komoroski
Respondent(s): Francis Gerham
Respondent Lawyers(s): Donald Neidhardt
Arbitrator(s): Frank C. Fogl
Hearing Site: Buffalo, NY
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| 12-04231 | 08/20/2013 | Claimant(s): Securities America.
Claimant Lawyers(s): Christina Heller
Respondent(s): Dennis Pascarella
Respondent Lawyers(s): Dennis Eugene Pascarella
Arbitrator(s): Frank C. Fogl
Hearing Site: Cincinnati, OH
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| 11-04100 | 10/23/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Steven P. Pherson
Respondent(s): William Perfett
Respondent Lawyers(s): Stanley Yorsz
Arbitrator(s): Frank C. Fogl
Hearing Site: Pittsburgh, PA
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| 10-04800 | 02/09/2012 | Claimant(s): Shawn Dailey
Claimant Lawyers(s): David K. Silverberg
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michelle E. Phillips
Arbitrator(s): Richard A. Scalfani, Frank C. Fogl, Allan H. Kaminsky
Hearing Site: Buffalo, NY
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| 11-03177 | 12/14/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Steven P. Pherson
Respondent(s): Christopher Guenther
Respondent Lawyers(s): Christopher R. Guenther
Arbitrator(s): Frank C. Fogl
Hearing Site: Cleveland, OH
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| 10-05204 | 12/02/2011 | Claimant(s): Daniel Mody, Eric Krouse, Pinnacle Investments
Claimant Lawyers(s): David L. Ward
Respondent(s): Alan Barham, George Haskins, Louis Panigrosso, Rudolph Panigrosso
Respondent Lawyers(s): Charles O. Ingraham
Arbitrator(s): Frank C. Fogl, Madhu C. Trivedi, Robert J. Allen
Hearing Site: Syracuse, NY
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| 10-03651 | 10/21/2011 | Claimant(s): David Middlemiss
Claimant Lawyers(s): Leigh A. Lieberman
Respondent(s): Garry Payne, LFA, LimitedLiability Company, Lincoln Financial Advisors Corporation, Lincoln Life&Annuity Company of New York
Respondent Lawyers(s): Brian J. Butler
Arbitrator(s): Frank C. Fogl, Stuart A. Ober, Peter A.P. Dunlop
Hearing Site: Syracuse, NY
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