| 22-01799 | 02/26/2024 | Claimant(s): Matthew Bennett, Melissa Bennett
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kuan Huang
Arbitrator(s): Guillermo L. Bosch, Doris J. Dabrowski, Evan K. Aidman
Hearing Site: Philadelphia, PA
|  | $425,000 |
| 23-02157 | 01/18/2024 | Claimant(s): Eric Johnson
Claimant Lawyers(s): Eric Johnson
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kevin S. Blume
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
| | $0 |
| 23-01583 | 10/20/2023 | Claimant(s): Mariano Tancredi
Claimant Lawyers(s): Mariano Tancredi
Respondent(s): Andreas Wochtl, Wells Fargo Clearing Services
Respondent Lawyers(s): Jason Kempf
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
| | $5,075 |
| 22-00442 | 06/20/2023 | Claimant(s): Ronald Kapusta
Claimant Lawyers(s): Peter Kreher
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Joyce
Arbitrator(s): Guillermo L. Bosch, Doris J. Dabrowski, Joseph Patrick Murphy
Hearing Site: Philadelphia, PA
| | Expungement |
| 22-00692 | 06/01/2023 | Claimant(s): Cheryl Weigel, Executrix
Claimant Lawyers(s): Michael P. Stanton
Respondent(s): Wells Fargo Clearing Services, Robert Cautilli
Respondent Lawyers(s): Jeffery D. Rodgers, Jr.
Arbitrator(s): Guillermo L. Bosch, Arnold Peter Borish, Annya Baskerville
Hearing Site: Philadelphia, PA
| | Expungement |
| 20-00386 | 04/13/2022 | Claimant(s): Jake Phillips, Rebecca Slavin-Phillips
Claimant Lawyers(s): Jake Phillips
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gilbert Serota
Arbitrator(s): Guillermo L. Bosch, Gail Marie Noel, M. Melvin Shralow
Hearing Site: Philadelphia, PA
| | Expungement |
| 20-03751 | 01/14/2022 | Claimant(s): Elizabeth Baucom, Richard Baucom, Richard Baucom IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Guillermo L. Bosch, Mary L. Sims, Louis P. Wagman
Hearing Site: Philadelphia, PA
| | Dismissed by Rule 12206 |
| 18-00886 | 03/20/2019 | Claimant(s): Audrey Lucker
Claimant Lawyers(s): George C. Zumbano
Respondent(s): David Dorsett, Capital & Security Management
Respondent Lawyers(s): David G. Dorsett
Arbitrator(s): Guillermo L. Bosch, Philip S. Cottone, George Forest Bingham
Hearing Site: Philadelphia, PA
| | $326,000 |
| 16-03694 | 07/09/2018 | Claimant(s): Joan Cassidy, Robert Cassidy
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): The Investment Center.
Respondent Lawyers(s): Denis Dice
Arbitrator(s): Guillermo L. Bosch, Mark E. Hollern, Allen M. Kerpan
Hearing Site: Philadelphia, PA
| | Expungement |
| 16-03097 | 05/25/2018 | Claimant(s): Jacqueline Kavas, Ronald Kavas, Sharane Kavas
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Guillermo L. Bosch, John William Hannan, Timothy C Russell
Hearing Site: Philadelphia, PA
| | Expungement |
