| 09-01619 | 03/05/2013 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Robert Hoffman
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): Glenn Lloyd Nobel, Fred M. Fleisher, Peter L. Marco
Hearing Site: Philadelphia, PA
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| 11-02066 | 03/05/2013 | Claimant(s): Brian Lureen
Claimant Lawyers(s): Ian J. Frimet
Respondent(s): Eplanning Securities.
Respondent Lawyers(s): Timothy A. Menezes
Arbitrator(s): Robert F. Sanville
Hearing Site: Philadelphia, PA
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| 12-01726 | 03/05/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Archie Capinguian
Respondent(s): Charles Oakes
Respondent Lawyers(s): Kent H. Patterson
Arbitrator(s): Paul J. Greco
Hearing Site: Philadelphia, PA
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| 12-00701 | 02/15/2013 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clark
Respondent(s): Fred Bergdoll
Respondent Lawyers(s): Joseph C. Korsak
Arbitrator(s): Margaret Mary Crumley, Anthony V. La Manna, Robert Alan Mayer
Hearing Site: Philadelphia, PA
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| 12-03123 | 02/06/2013 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Patrick J. Howley
Respondent(s): Brian Allen
Respondent Lawyers(s): Brian Allen
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
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| 11-00784 | 01/25/2013 | Claimant(s): Michael Kloc
Claimant Lawyers(s): Leslie Wybiral
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): Jerry Schuchman, Timothy Towles Stevens, Carla Fisher
Hearing Site: Philadelphia, PA
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| 12-02344 | 01/17/2013 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Raymond Spinelli
Respondent Lawyers(s): Raymond Thomas Spinelli
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Philadelphia, PA
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| 12-01745 | 11/14/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jason Warner
Respondent(s): Gregg Strongin
Respondent Lawyers(s): Gregg Elliott Strongin
Arbitrator(s): William J. Hirsch
Hearing Site: Philadelphia, PA
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| 11-02388 | 11/08/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): David W. Schmidt
Respondent(s): Christopher Babcock
Respondent Lawyers(s): Christopher Babcock
Arbitrator(s): E. William Pastor
Hearing Site: Philadelphia, PA
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| 11-02680 | 10/18/2012 | Claimant(s): Saundra Genoni
Claimant Lawyers(s): John E. MacDonald
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Thomas Durkin
Respondent Lawyers(s): Amy M. Fritsky
Arbitrator(s): Mark H. Stein, Patrick R. Westerkamp, Esq., Timothy James Potero
Hearing Site: Philadelphia, PA
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