| 11-04410 | 11/20/2012 | Claimant(s): Chris Stovic
Claimant Lawyers(s): Chris Stovic
Respondent(s): Christopher Gent, Christopher O'Meara, Henry Kaufman, John Akers, John Macomber, Marsha Evans, Michael Anslie, Richard Fuld, Roger Berlind, Roland Hernandez, Thomas Cruikshank
Respondent Lawyers(s): Joshua Klein, Kathleen N. Massey, Todd S. Fishman
Arbitrator(s): Kathleen K. Murphy
Hearing Site: Pittsburgh, PA
|  | $325 |
| 11-00484 | 10/10/2012 | Claimant(s): James Bordas, Linda Bordas
Claimant Lawyers(s): J. Zachary Zatezalo
Respondent(s): Wells Fargo Advisors, Ernest Coffindaffer
Respondent Lawyers(s): Meredith Cavallaro
Arbitrator(s): Michael R. Stabile, G. Daniel Carney, John P. Abriola
Hearing Site: Pittsburgh, PA
| | $98,250 |
| 11-01011 | 08/07/2012 | Claimant(s): Jack Goldsmith, FMTC Custodian IRA Rollover Provision FB
Claimant Lawyers(s): Vicki Kuftic Horne
Respondent(s): Fred Galovich, Galovich Financial Planning Services, WRP Investments.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Garry Lee Hogan, Jay H. Feldstein, Michael R. Stabile
Hearing Site: Pittsburgh, PA
| | $410,000 |
| 11-00915 | 06/22/2012 | Claimant(s): Grace Seitz, Harry Seitz
Claimant Lawyers(s): Nicholas A. Miller
Respondent(s): Kimberly Fleming, Maryann Siebert, Hefren & Tillotson., Hefren-Tillotson.
Respondent Lawyers(s): Stanley Yorsz
Arbitrator(s): Jeffrey M. Bain, Michael S. Berman, George H. Perich
Hearing Site: Pittsburgh, PA
| | Expungement |
| 10-05533 | 02/28/2012 | Claimant(s): Frank Porco, Mary Porco
Claimant Lawyers(s): Rebecca J. Maziarz
Respondent(s): Thomas Brancazio, U.S. Bancorp Investments.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Donald J. Gilbert, Michael C. Hanzel, Kenneth Alan Eisner
Hearing Site: Pittsburgh, PA
| | $0 |
| 11-01879 | 02/28/2012 | Claimant(s): David Miller
Claimant Lawyers(s): David G. Miller
Respondent(s): Matthew Dailey, Genworth Financial Securities Corp
Respondent Lawyers(s): James W. Shay
Arbitrator(s): Thomas C. Wagner
Hearing Site: Pittsburgh, PA
| | $163 |
| 10-00408 | 09/28/2011 | Claimant(s): Robert Bryan
Claimant Lawyers(s): Anthony Cillo
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Richard W. Dissen, Kathleen K. Murphy, Albert Joseph Boucek
Hearing Site: Pittsburgh, PA
| | $0 |
| 10-00254 | 09/16/2011 | Claimant(s): Thomas Gannon, IRA
Claimant Lawyers(s): Scott D. Livingston
Respondent(s): Joseph Molinero, Morgan Stanley & Co.
Respondent Lawyers(s): Douglas W. Hyman
Arbitrator(s): Jeffrey M. Bain, Steven P. Franckhauser, Max D. Halpern
Hearing Site: Pittsburgh, PA
| | $0 |
| 10-03674 | 09/16/2011 | Claimant(s): Adolph Hozempa, Mary Hozempa
Claimant Lawyers(s): Robert M. Kramer
Respondent(s): Wachovia Securities, Kevin Coyne
Respondent Lawyers(s): James W. Kraus
Arbitrator(s): William R. Gruver, Gregory P. Szuter, James J. Puhala
Hearing Site: Pittsburgh, PA
| | $0 |
| 10-00615 | 08/09/2011 | Claimant(s): AEO Management Co., American Eagle Outfitters.
Claimant Lawyers(s): Richard T. Victoria
Respondent(s): Sanford Haber
Respondent Lawyers(s): Theodore A. Krebsbach
Arbitrator(s): James A. Laurenson, Clifford E. Marstiller, Francis A. King
Hearing Site: Pittsburgh, PA
| | Expungement |
