| 08-02780 | 04/29/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Cliff G. Anderson
Respondent(s): William Dahm
Respondent Lawyers(s): William C. Dahm
Arbitrator(s): Edward T. Borer, Peter D. Shelp, Kenneth Joseph Beahan
Hearing Site: Philadelphia, PA
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| 06-05265 | 02/27/2009 | Claimant(s): William Gomez
Claimant Lawyers(s): William J. Clements
Respondent(s): William Fretz, The Keystone Equities Group, L.P.
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Cornelius C. Clancy, Edward Blumstein, Ronald J. Bolognese
Hearing Site: Philadelphia, PA
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| 08-00950 | 11/14/2008 | Claimant(s): Michael OKeefe
Claimant Lawyers(s): Christopher G. Massey
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Andrew Lipton
Arbitrator(s): Felix A. Meschini, Catherine Stewart, George F. Adams
Hearing Site: Philadelphia, PA
| | Expungement |
| 08-01171 | 11/10/2008 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Will Stute
Respondent(s): Christopher Weighart
Respondent Lawyers(s): Christopher Grey Weighart
Arbitrator(s): Michael Quarto
Hearing Site: Philadelphia, PA
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| 07-02711 | 10/29/2008 | Claimant(s): Frederick Arnold
Claimant Lawyers(s): Frederick Jay Arnold
Respondent(s): Donald Siok, John Carney
Respondent Lawyers(s): Donald Drew Siok, John Anthony Carney
Arbitrator(s): Mary Ann M. Melchiorre
Hearing Site: Philadelphia, PA
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| 08-00145 | 10/29/2008 | Claimant(s): PNC Investments Inc.
Claimant Lawyers(s): Elizabeth M. Hill
Respondent(s): Andrea Sawchuk
Respondent Lawyers(s): Brian K. Wiley
Arbitrator(s): Alan M. Schankel, Carol H. Gold, Fred W. Miller
Hearing Site: Philadelphia, PA
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| 07-03593 | 10/23/2008 | Claimant(s): Thomas Holmes
Claimant Lawyers(s): Kevin Thomas Hoffman
Respondent(s): Susquehanna Financial Group, LLLP
Respondent Lawyers(s): Andrew C. Curley
Arbitrator(s): Philip S. Cottone, Sean M. Sweeney, L. Martin Miller
Hearing Site: Philadelphia, PA
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| 05-06504 | 10/10/2008 | Claimant(s): First Montauk Securities Corp.
Claimant Lawyers(s): Gerry Kowalski
Respondent(s): Louis Inglese
Respondent Lawyers(s): Glenn S. Gitomer
Arbitrator(s): John W. Lear, William J. Hirsch, Kenneth Joseph Beahan
Hearing Site: Philadelphia, PA
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| 06-04100 | 09/24/2008 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): RBC Dain Rauscher., Scott Karpiak
Respondent Lawyers(s): Eliott R. Good
Arbitrator(s): Alan J. Blocher, Catherine S. Kopley, Elena P. Anastasiou
Hearing Site: Philadelphia, PA
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| 07-02449 | 09/22/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Richard Smithson
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Edward T. Borer, Stephen T. Mayhew, Jack H. McNairy
Hearing Site: Philadelphia, PA
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