| 17-00561 | 01/10/2018 | Claimant(s): Timothy Foster
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
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| 17-00545 | 12/21/2017 | Claimant(s): Thomas McInerney
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc., Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson, Sean J. Coughlin
Arbitrator(s): Thomas Benjamin Salzer
Hearing Site: Philadelphia, PA
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| 17-01514 | 11/09/2017 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Robert Pincus
Respondent Lawyers(s): Seth Huberman
Arbitrator(s): John J. Jordan, Anthony V. La Manna, Mary Jane Walk
Hearing Site: Philadelphia, PA
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| 10-04094 | 11/01/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Kenneth M. Murray, Thomas J. Momjian
Respondent(s): Daniel Thompson, Stephen Walker
Respondent Lawyers(s): Gary Green, Thomas J. Momjian
Arbitrator(s): Guillermo L. Bosch, John T. Hausladen, Roger Frazier Cox
Hearing Site: Philadelphia, PA
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| 17-00575 | 10/23/2017 | Claimant(s): Gregory Hayes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn Perreault
Arbitrator(s): Elliot B. Platt
Hearing Site: Philadelphia, PA
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| 17-01153 | 10/09/2017 | Claimant(s): David Coult
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Jeffrey A. Sturgeon
Arbitrator(s): Donald S. Bauman
Hearing Site: Philadelphia, PA
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| 17-00072 | 10/04/2017 | Claimant(s): John Lane
Claimant Lawyers(s): Eric C. Milby
Respondent(s): Bedminster Financial Group, Limited
Respondent Lawyers(s): Robert Martin Vanpelt
Arbitrator(s): Rafael A. Porrata-Doria
Hearing Site: Philadelphia, PA
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| 16-00489 | 09/27/2017 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R Greco
Respondent(s): Daniel Picinich
Respondent Lawyers(s): Clinton Marrs
Arbitrator(s): Dale A. Pope, Laura A. Kaster, Andrea Lee Wilson
Hearing Site: Philadelphia, PA
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| 16-03052 | 05/31/2017 | Claimant(s): Thomas Ahern
Claimant Lawyers(s): Dennis G Peatrowsky
Respondent(s): J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): David Smitham
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Philadelphia, PA
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| 16-01253 | 01/06/2017 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Thomas J. Momjian
Respondent(s): Brian Lynch
Respondent Lawyers(s): Dianna D. McCarthy
Arbitrator(s): John E. Felch, Mary Jane Walk, John B. Taulane
Hearing Site: Philadelphia, PA
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