| 20-00478 | 11/02/2021 | Claimant(s): Christine Kearney
Claimant Lawyers(s): Stuart E. Finer
Respondent(s): LPL Financial LLC, Gregory Kearney
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Mark H. Stein, Douglas A. Eldridge, Ronald F Thompson
Hearing Site: Syracuse, NY
|  | $0 |
| 18-03863 | 12/06/2019 | Claimant(s): David Maturi
Claimant Lawyers(s): Jorge M. Altamirano
Respondent(s): L.O. Thomas & Co. Inc.
Respondent Lawyers(s): Marc S. Gottlieb
Arbitrator(s): Diane Ciccone, Carol H. Gold, Mark H. Stein
Hearing Site: Philadelphia, PA
| | $0 |
| 18-03187 | 11/21/2019 | Claimant(s): Ann Ginsberg, Gene Ginsberg, Gene H. Ginsberg & Ann R. Ginsberg Trust
Claimant Lawyers(s): David A Conti
Respondent(s): Stifel, Nicolaus & Co.., Lawrence Delhagen, Michael O'Keefe
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Mark H. Stein, Patrick R. Westerkamp, Gerard Thompson
Hearing Site: Philadelphia, PA
| | $0 |
| 16-00430 | 02/14/2017 | Claimant(s): Howard Schreibstein, Wendy Schreibstein
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Ellen Sheridan- Cona
Arbitrator(s): Mark H. Stein
Hearing Site: Philadelphia, PA
| | $23,650 |
| 14-03775 | 12/18/2015 | Claimant(s): William Freas
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Rockwell Global Capital LLC
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Elliot B. Platt, Mark H. Stein, Joseph H. Danziger
Hearing Site: Philadelphia, PA
| | $35,000 |
| 14-01499 | 07/24/2015 | Claimant(s): Donna Meli
Claimant Lawyers(s): Michael Hill
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Mark H. Stein
Hearing Site: Philadelphia, PA
| | Expungement |
