| 21-01271 | 01/26/2024 | Claimant(s): Katharine Constable
Claimant Lawyers(s): Andrew D. O'Toole
Respondent(s): Frank Epinger, J.P. Morgan Securities, Jacqueline Rahn, Jonathan Galan, Trevor Rahn
Respondent Lawyers(s): David Harrison, Dexter B. Johnson, Eugene L. Small, Michael M. Wilson
Arbitrator(s): Diane Ciccone, Steven R. Rolnick, David Adams Reif
Hearing Site: Hartford, CT
|  | Expungement |
| 23-01529 | 10/09/2023 | Claimant(s): Debora Scholl
Claimant Lawyers(s): Debora Scholl
Respondent(s): Alexis Cain, Lincoln Investment
Respondent Lawyers(s): Matthew Sherlock, Sean L. Corgan
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
| | $0 |
| 20-03646 | 04/07/2023 | Claimant(s): John Kruk, Kruk Joint Revocable Trust UAD 1-30-17
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Brian Megley, Cetera Advisors LLC
Respondent Lawyers(s): Michael Schwartzberg
Arbitrator(s): Jim Geiger, Diane Ciccone, Jeremy M. Bloomenthal
Hearing Site: Providence, RI
| | 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 |
| 21-00876 | 06/09/2022 | Claimant(s): Renee Danho, MRM Realty, Denis E. Vachon Trust, Georgette A. Vachon Trust
Claimant Lawyers(s): Stacey P. Nakasian
Respondent(s): Charles White, II, Wilson Saville, Barrett & Company
Respondent Lawyers(s): Peter F. Flynn
Arbitrator(s): Diane Ciccone, Vincent Vina, Gabrielle Labonte
Hearing Site: Providence, RI
| | $341,300 |
| 21-00513 | 05/26/2022 | Claimant(s): William Nies
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Geneos Wealth Management
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Diane Ciccone, Doris J. Dabrowski, Mary S. Wyatte
Hearing Site: Philadelphia, PA
| | Expungement |
| 20-01958 | 09/15/2021 | Claimant(s): Ernest Guenin, Monique Guenin
Claimant Lawyers(s): Peter M. Good
Respondent(s): Joseph Trifiletti, Stephen Distante, Stephen Trask, Steven Howe, Thomas Murphy, Vanderbilt Securities
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Diane Ciccone, Gregory J. Spadea, Peter George Erdely
Hearing Site: Philadelphia, PA
| | $200,000 |
| 21-00465 | 06/21/2021 | Claimant(s): Rupesh Parajuli
Claimant Lawyers(s): Rupesh Parajuli
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Brandon K. Hemley
Arbitrator(s): Diane Ciccone
Hearing Site: Hartford, CT
| | $600 |
| 20-02296 | 12/10/2020 | Claimant(s): Dmytro Garazha
Claimant Lawyers(s): Dennis Moskal
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Diane Ciccone
Hearing Site: Wilmington, DE
| | $300 |
| 19-01970 | 06/04/2020 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Charles Rattley
Respondent Lawyers(s): Charles Kenneth Rattley
Arbitrator(s): Diane Ciccone, Thomas J. Dolina, Margaret Ann Dubil
Hearing Site: Baltimore, MD
| | $207,918 |
