| 11-03461 | 08/14/2013 | Claimant(s): Susan Poller-Newman
Claimant Lawyers(s): Christopher C. Coss
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): James P. McLaughlin
Arbitrator(s): Philip S. Cottone, Rafael A. Porrata-Doria, Thomas Benjamin Salzer
Hearing Site: Philadelphia, PA
| | |
| 13-00840 | 08/12/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Beverly Jo Slaughter
Respondent(s): Richard Catanese
Respondent Lawyers(s): Richard Catanese
Arbitrator(s): Daniel J. McCarthy
Hearing Site: Philadelphia, PA
| | |
| 11-03778 | 08/01/2013 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Jeremy Hare
Respondent Lawyers(s): Jeremy David Hare
Arbitrator(s): Kathleen K. Murphy
Hearing Site: Philadelphia, PA
| | |
| 12-01373 | 07/18/2013 | Claimant(s): Jeffrey Springer
Claimant Lawyers(s): Thomas J. Momjian
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Rosemary S. Gousman
Arbitrator(s): Sheldon Seligsohn, Richard Frank Colello, David F. Griesing
Hearing Site: Philadelphia, PA
| | |
| 12-04269 | 07/15/2013 | Claimant(s): John Garvey
Claimant Lawyers(s): Christina R. LoConte
Respondent(s): Bradford Bono
Respondent Lawyers(s): Kevin D. Galbraith
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | Expungement |
| 12-04217 | 07/11/2013 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Courtney M. Rogers-Reid
Respondent(s): Andrew Woolf
Respondent Lawyers(s): A. Wilson Woolf
Arbitrator(s): Ronald P. Wertheim
Hearing Site: Philadelphia, PA
| | |
| 12-01804 | 05/21/2013 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Joseph Bardzilowski
Respondent Lawyers(s): Joseph George Bardzilowski
Arbitrator(s): Walter R. Milbourne
Hearing Site: Philadelphia, PA
| | |
| 11-03898 | 04/11/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): A. J. Borrelli
Respondent(s): James Meis
Respondent Lawyers(s): Thomas J. Momjian
Arbitrator(s): Benjamin F. Richards, David M. Panko, Lawrence J. Roth
Hearing Site: Philadelphia, PA
| | |
| 10-03969 | 04/10/2013 | Claimant(s): Skip Massengill
Claimant Lawyers(s): George Bochetto
Respondent(s): Commerce Capital Markets., TD Wealth Management Services Inc.
Respondent Lawyers(s): Risa B. Boerner
Arbitrator(s): Carol H. Gold, E. William Pastor, Timothy J. Tarpey
Hearing Site: Philadelphia, PA
| | |
| 11-02045 | 03/28/2013 | Claimant(s): James McDevitt
Claimant Lawyers(s): James Bruce McDevitt
Respondent(s): Dawn Dupre, PNC Investments
Respondent Lawyers(s): Deborah I. Ecker
Arbitrator(s): Daniel E. Bacine
Hearing Site: Philadelphia, PA
| | |
