| 12-00186 | 10/18/2012 | Claimant(s): James Rice
Claimant Lawyers(s): James Arthur Rice
Respondent(s): Christopher Kau
Respondent Lawyers(s): Christopher George Kau
Arbitrator(s): Margaret Mary Crumley
Hearing Site: Philadelphia, PA
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| 12-01739 | 10/16/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Archie Capinguian
Respondent(s): Lynn De Vasto
Respondent Lawyers(s): Lynn Anne De Vasto
Arbitrator(s): Paul J. Greco
Hearing Site: Philadelphia, PA
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| 12-01519 | 08/23/2012 | Claimant(s): Alec Price
Claimant Lawyers(s): Carlos Ricca
Respondent(s): Lynn Schreiber, Neil Sperling
Respondent Lawyers(s): Kyle Kulzer
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
| | Expungement |
| 12-00373 | 08/15/2012 | Claimant(s): Mary Spuhler
Claimant Lawyers(s): Mary Beth Fisher Spuhler
Respondent(s): Louis Grammes
Respondent Lawyers(s): Stephen Moniak
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Philadelphia, PA
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| 11-02038 | 07/27/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Kate S. Arduini
Respondent(s): Scott Hartshorn
Respondent Lawyers(s): David F. McComb
Arbitrator(s): Carol H. Gold, Faye Riva Cohen, Timothy J. Tarpey
Hearing Site: Philadelphia, PA
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| 10-05689 | 07/11/2012 | Claimant(s): Louis Micciulla
Claimant Lawyers(s): David C. Franceski
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Martin S. Chester
Arbitrator(s): Edward Blumstein, William W. Lowe, Robert C. Scanlan
Hearing Site: Philadelphia, PA
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| 11-04103 | 03/06/2012 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): William Bucci
Respondent Lawyers(s): Robert M. Tobia
Arbitrator(s): Paul J. Greco
Hearing Site: Philadelphia, PA
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| 10-02431 | 02/14/2012 | Claimant(s): Marcus Hernandez
Claimant Lawyers(s): Christopher Coss
Respondent(s): E*Trade Securities LLC, E* Trade Financial Corporation
Respondent Lawyers(s): Michael Banks
Arbitrator(s): Daniel J. McCarthy, Timothy J. Tarpey, Joseph H. Danziger
Hearing Site: Philadelphia, PA
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| 11-00926 | 11/22/2011 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Ronald Aungst
Respondent Lawyers(s): Ronald A Aungst
Arbitrator(s): John J. Jordan
Hearing Site: Philadelphia, PA
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| 09-05711 | 09/08/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Karen Gaster
Respondent(s): James Milnes
Respondent Lawyers(s): John E. MacDonald
Arbitrator(s): David S. Paul, Gregory Hunter Mathews, Robert Alan Mayer
Hearing Site: Philadelphia, PA
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