| 13-01434 | 04/14/2014 | Claimant(s): Ronald Miller
Claimant Lawyers(s): Kenneth M. Baldonieri
Respondent(s): Jon Hawk, Morgan Stanley
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Charles D. Underwood
Hearing Site: Pittsburgh, PA
|  | $0 |
| 12-01241 | 03/12/2014 | Claimant(s): John W. Ralston Jr. Living Trust, Ralston Farms & Stables Trust
Claimant Lawyers(s): John W. Ralston
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde Hoffman
Arbitrator(s): Kevin R. Zehe
Hearing Site: Pittsburgh, PA
| | $0 |
| 12-03447 | 01/09/2014 | Claimant(s): Joan McCauley
Claimant Lawyers(s): Joan McCauley
Respondent(s): Ameriprise Financial Services., Rush Hodgin
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Paul H. McKenna, Gregory P. Szuter, James G. Kirk
Hearing Site: Pittsburgh, PA
| | $0 |
| 12-00127 | 11/25/2013 | Claimant(s): Jack Cherkin, Pamela Cherkin
Claimant Lawyers(s): G. Clinton Kelley
Respondent(s): Mark Perilman, Yale Rosenstein, Lincoln Financial Advisors Corporation, Perilman Wealth Management, Sagemark Consulting, Yale A. Rosenstein & Associates.
Respondent Lawyers(s): James W. Kraus
Arbitrator(s): David J. Capriotti, Thomas H. Barnard, Barry J. Lipson
Hearing Site: Pittsburgh, PA
| | $35,000 |
| 12-01998 | 08/29/2013 | Claimant(s): M. Kerr
Claimant Lawyers(s): Robert W. Goehring
Respondent(s): Hunter Associates.
Respondent Lawyers(s): Scott Michael Hare
Arbitrator(s): Gregory P. Szuter, Michael D. McDowell, Paul E. von Geis
Hearing Site: Pittsburgh, PA
| | Stipulated Award and Expungement |
| 12-00130 | 08/14/2013 | Claimant(s): Angela Pollice, Philip Pollice
Claimant Lawyers(s): Brian J. Sommer
Respondent(s): David Root, Commonwealth Financial Network, D.B. Root & Company
Respondent Lawyers(s): Jay E. Kagan
Arbitrator(s): Thomas C. Wagner, Christopher Lepore, G. Daniel Carney
Hearing Site: Pittsburgh, PA
| | $0 |
| 12-03930 | 05/29/2013 | Claimant(s): Fred Hingel
Claimant Lawyers(s): Fred J. Hingel
Respondent(s): Brian Forneris, Princor Financial Services Corporation
Respondent Lawyers(s): Rebecca Rothmann
Arbitrator(s): John W. Eichleay
Hearing Site: Pittsburgh, PA
| | $0 |
| 12-02735 | 04/19/2013 | Claimant(s): Meltport Pension Trust
Claimant Lawyers(s): James N. Perich
Respondent(s): Kimberly Krapp, Richard Crist, Janney Montgomery Scott LLC
Respondent Lawyers(s): Carrie L. Chelko
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Pittsburgh, PA
| | Expungement |
| 12-01394 | 04/03/2013 | Claimant(s): Robert Fabric
Claimant Lawyers(s): Robert M. Kramer
Respondent(s): Erik Lenyk, Hefren-Tillotson.
Respondent Lawyers(s): Stanley Yorsz
Arbitrator(s): Mitchell B. Goldberg, James T. Carney, Thomas David Hudak
Hearing Site: Pittsburgh, PA
| | $10,816 |
| 11-03818 | 11/20/2012 | Claimant(s): George Beard
Claimant Lawyers(s): J. Zachary Zatezalo
Respondent(s): Carrie Bowman, Janney Montgomery Scott LLC
Respondent Lawyers(s): Stanley Yorsz
Arbitrator(s): Mark K. Gubinsky, John T. Meredith, G. Daniel Carney
Hearing Site: Pittsburgh, PA
| | Expungement |
