| 12-02526 | 11/26/2013 | Claimant(s): Maryann Araman, Antone Araman
Claimant Lawyers(s): Glenn S. Gitomer
Respondent(s): Joseph Gunnar & Co. LLC
Respondent Lawyers(s): John E. Lawlor
Arbitrator(s): Diane Ciccone, Kathleen L. Daerr-Bannon, Timothy James Potero
Hearing Site: Philadelphia, PA
|  | $674,030 |
| 10-04699 | 06/20/2012 | Claimant(s): Frank Umbriac
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): CCO Investment Services Corp.
Respondent Lawyers(s): Nipun J. Patel
Arbitrator(s): Diane Ciccone, Robert W. Ratti, David B. Harwi
Hearing Site: Philadelphia, PA
| | $50,000 |
| 11-02406 | 01/30/2012 | Claimant(s): Kathleen Appleton
Claimant Lawyers(s): Kathleen M. Appleton
Respondent(s): Joseph Voelker, Marc Dobb
Respondent Lawyers(s): Carrie Bechtold
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
| | $38 |
| 11-00712 | 01/20/2012 | Claimant(s): William Sudyka, William E. Sudyka, Rollover IRA, Roth IRA
Claimant Lawyers(s): Mark C. Lauria
Respondent(s): Glenn King, Thomas Santucci
Respondent Lawyers(s): Glenn Robert King, Thomas John Santucci
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
| | Expungement |
| 08-00554 | 02/04/2010 | Claimant(s): William H. Agnew and Bernadien R. Agnew
Claimant Lawyers(s): William H. Agnew
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Diane Ciccone, David M. Panko, Paul J. Greco
Hearing Site: Philadelphia, PA
| | $0 |
| 06-00972 | 10/15/2007 | Claimant(s): The Gorak Foundation Trust
Claimant Lawyers(s): Daniel L. Carroll
Respondent(s): Dean Friedman
Respondent Lawyers(s): Brett Sherman
Arbitrator(s): Diane Ciccone, Linda S. Cole, Walter M. Schackman
Hearing Site: New York, NY
| | $22,342 |
