| 17-02942 | 11/06/2019 | Claimant(s): Jerome Weiner, Sandra Weiner
Claimant Lawyers(s): Jerome Weiner
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Jim Geiger, Alan J. Blocher, Kathleen Jones Spilker
Hearing Site: Philadelphia, PA
|  | $0 |
| 14-02906 | 02/17/2016 | Claimant(s): Joanne Marano
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): David Sivel
Respondent Lawyers(s): Joseph C. Korsak
Arbitrator(s): Alan J. Blocher
Hearing Site: Philadelphia, PA
| | $49,300 |
| 14-01407 | 02/01/2016 | Claimant(s): Paula Hian
Claimant Lawyers(s): David P. Heim
Respondent(s): Wells Fargo Advisors, Manuel Aponte
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Alan J. Blocher, Stephen J. Scherf, Laura Marini Davis
Hearing Site: Philadelphia, PA
| | Expungement |
| 13-00353 | 11/20/2014 | Claimant(s): Margaret Vasily
Claimant Lawyers(s): Russell S. Burnside
Respondent(s): Alexander Swanson, Horan Capital Management
Respondent Lawyers(s): Brian Carlis, Howard E. Greenberg
Arbitrator(s): Rafael A. Porrata-Doria, Alan J. Blocher, Kevin Joseph O'Malley
Hearing Site: Philadelphia, PA
| | $479,116 |
| 14-00473 | 09/10/2014 | Claimant(s): Marshall Peters
Claimant Lawyers(s): Marshall Peters
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Alan J. Blocher
Hearing Site: Wilmington, DE
| | $300 |
| 12-04104 | 05/20/2014 | Claimant(s): William Ey
Claimant Lawyers(s): Christopher C. Coss
Respondent(s): Brian Allen, RBC Wealth Management
Respondent Lawyers(s): Brian Joseph Allen, Dennis C. Dice
Arbitrator(s): Alan J. Blocher, Kathleen K. Murphy, William J. Hirsch
Hearing Site: Philadelphia, PA
| | Expungement |
| 13-00033 | 12/16/2013 | Claimant(s): Phone Sales USA., Randy Mims IRA
Claimant Lawyers(s): Randy Mims
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Alan J. Blocher, Kenneth D. Morris, Robin L. Lewis
Hearing Site: Philadelphia, PA
| | $10,000 |
| 11-00896 | 06/26/2013 | Claimant(s): Leonard Nole
Claimant Lawyers(s): Steven H. Doto
Respondent(s): Citigroup Global Markets., John Graff, Scott Whalen
Respondent Lawyers(s): Lawrence G. Barbot
Arbitrator(s): Robert F. Sanville, Alan J. Blocher, Carol H. Gold
Hearing Site: Philadelphia, PA
| | Expungement |
| 10-03605 | 01/09/2012 | Claimant(s): Myrl Mladenoff, Myrl E. Mladenoff & Leroy K Mladenoff
Claimant Lawyers(s): Christopher J. Coyle
Respondent(s): Robert Lowrie, Edward Jones
Respondent Lawyers(s): Javier Chavez
Arbitrator(s): Alan J. Blocher
Hearing Site: Philadelphia, PA
| | $10,000 |
| 10-01950 | 09/24/2010 | Claimant(s): Richard W. Deckmann Family Trust
Claimant Lawyers(s): Marilyn K. Deckmann
Respondent(s): Wells Fargo Advisors, Michele Kief
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Alan J. Blocher
Hearing Site: Wilmington, DE
| | $5,805 |
