| 23-00768 | 12/08/2023 | Claimant(s): Michael Moses
Claimant Lawyers(s): Courtney M. Werning
Respondent(s): Edward Jones
Respondent Lawyers(s): Joe N. Nguyen
Arbitrator(s): Carol H. Gold, Colin Bell, Stacey Frenche
Hearing Site: Philadelphia, PA
|  | Expungement |
| 20-00452 | 12/02/2022 | Claimant(s): Barbara Moger
Claimant Lawyers(s): Christopher J. Albanese
Respondent(s): Christopher Braccia, Stephen Oliver, First Allied Securities.
Respondent Lawyers(s): Garry T. Stevens
Arbitrator(s): Diane Ciccone, Carol H. Gold, Christin Kim
Hearing Site: Philadelphia, PA
| | Expungement |
| 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 |
| 16-01944 | 03/23/2017 | Claimant(s): Alan Hill
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith F. Hoffman
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
| | $12,721 |
| 14-00588 | 12/01/2015 | Claimant(s): Janette Adams
Claimant Lawyers(s): Stephen Guice
Respondent(s): Jeffrey Adams, Philip Patragnoni, PNC Investments
Respondent Lawyers(s): Brian A. Carlis, Jeffrey Adams
Arbitrator(s): Carol H. Gold, Catherine S. Kopley, Laura A. Kaster
Hearing Site: Philadelphia, PA
| | $0 |
| 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 |
| 11-00219 | 02/20/2013 | Claimant(s): Michael Gallagher and Mary Gallagher
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tom Briody
Arbitrator(s): Carol H. Gold, Edward F. Koren, Rochelle K. Kaplan
Hearing Site: Philadelphia, PA
| | Expungement |
