| 14-00882 | 11/06/2014 | Claimant(s): Robert Friedman
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): J. Burke McCormick
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Philadelphia, PA
| | |
| 13-03606 | 11/04/2014 | Claimant(s): CCO Investment Services Corp., RBS Citizens, N.A.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Thomas Kelly
Respondent Lawyers(s): Andrew Laird
Arbitrator(s): Rafael A. Porrata-Doria, Fred M. Fleisher, David F. Griesing
Hearing Site: Philadelphia, PA
| | |
| 13-00877 | 10/30/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): John K. Wells
Respondent(s): Matthew MacMichael
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Jim Geiger, David Marcus, Gregory J. Spadea
Hearing Site: Philadelphia, PA
| | |
| 14-00408 | 10/27/2014 | Claimant(s): Keith Steidle
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): PLC Design. 401K Plan
Respondent Lawyers(s): Robert G. Varkonyi
Arbitrator(s): David M. Panko, Michael P. Marryshow, Donald S. Bauman
Hearing Site: Philadelphia, PA
| | Expungement |
| 13-02300 | 09/30/2014 | Claimant(s): Donna Sabb, George Adams
Claimant Lawyers(s): Vincent Imbesi
Respondent(s): Virginia Smith, Virginia M. Smith Irrevocable Trust
Respondent Lawyers(s): Pierson Backes
Arbitrator(s): Steven T. Stern
Hearing Site: Philadelphia, PA
| | Expungement |
| 13-02956 | 09/26/2014 | Claimant(s): Carly Mccarty
Claimant Lawyers(s): Stephen R. Bosin
Respondent(s): PNC Investments
Respondent Lawyers(s): Gary Lieberman
Arbitrator(s): Jim Geiger, John T. Hausladen, Gary I. Kravis
Hearing Site: Philadelphia, PA
| | |
| 10-05445 | 08/21/2014 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph F. Keenan
Respondent(s): Gregory Dotter
Respondent Lawyers(s): Gregory Dotter
Arbitrator(s): Edward T. Borer, Jim Geiger, Bernard Herman, Glenn J. Hansen, Roger Frazier Cox, Mark H. Stein
Hearing Site: Philadelphia, PA
| | |
| 13-02164 | 07/10/2014 | Claimant(s): Aaron Krauss
Claimant Lawyers(s): David S. Rich
Respondent(s): Lincoln Financial Distributors.
Respondent Lawyers(s): Joseph A. Dougherty
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
| | |
| 13-03137 | 07/02/2014 | Claimant(s): Ralph Autuore
Claimant Lawyers(s): William H. Connolly
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Jeffrey Steinberg
Hearing Site: Philadelphia, PA
| | |
| 13-03499 | 06/20/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Gerald Coscia
Respondent Lawyers(s): Gerald Coscia
Arbitrator(s): Michael P. Marryshow
Hearing Site: Philadelphia, PA
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