| 17-03091 | 07/27/2018 | Claimant(s): Frank Esposto
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, Morgan Stanley
Respondent Lawyers(s): Alan S. Brodherson, Andrew Gelfand
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
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| 17-02636 | 07/23/2018 | Claimant(s): Jason Scheurer
Claimant Lawyers(s): Michael Bessette
Respondent(s): Wells Fargo Clearing Services, First Union Brokerage Services., Infinex Investments.
Respondent Lawyers(s): Demian J. Betz, Gregg Breitbart
Arbitrator(s): Gordon M. Wase
Hearing Site: Philadelphia, PA
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| 17-02182 | 07/18/2018 | Claimant(s): Richard Grobman
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): John T. McGuire
Arbitrator(s): Guillermo L. Bosch, Sally Cheung, David Arthur Christiansen
Hearing Site: Philadelphia, PA
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| 17-03361 | 07/18/2018 | Claimant(s): Mark Kruman
Claimant Lawyers(s): Michael Bessette
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
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| 18-00588 | 06/20/2018 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): James Kelly
Respondent Lawyers(s): James Joseph Kelly
Arbitrator(s): John J. Jordan
Hearing Site: Philadelphia, PA
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| 17-02872 | 06/13/2018 | Claimant(s): Allen Rosenberg
Claimant Lawyers(s): Owen Harnett
Respondent(s): American Eagle Investments.
Respondent Lawyers(s): Allen R. Rosenberg
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
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| 18-00222 | 05/24/2018 | Claimant(s): Ameriprise Financial Services
Claimant Lawyers(s): Michael S Taaffe
Respondent(s): Fadi Soliman
Respondent Lawyers(s): Fadi Sami Soliman
Arbitrator(s): John J. Jordan
Hearing Site: Philadelphia, PA
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| 17-00798 | 05/01/2018 | Claimant(s): Jerry Caporale
Claimant Lawyers(s): Jerry Caporale
Respondent(s): Newport Coast Securities.
Respondent Lawyers(s): Kevin Lee
Arbitrator(s): Edward Blumstein
Hearing Site: Philadelphia, PA
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| 16-03482 | 04/19/2018 | Claimant(s): Mark Comyns
Claimant Lawyers(s): Eric C. Milby
Respondent(s): David Fitzgerald
Respondent Lawyers(s): Joshua Horn
Arbitrator(s): Thomas Benjamin Salzer, Adam Bronstein, Mark H. Stein
Hearing Site: Philadelphia, PA
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| 17-01929 | 01/17/2018 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Megan Christensen
Respondent(s): Richard Tighe
Respondent Lawyers(s): Richard Lyden Tighe
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
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