| 20-03674 | 09/22/2022 | Claimant(s): Richard Dawalt
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Joseph Stone Capital L.L.C.
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Rafael A. Porrata-Doria, Fred W. Miller, Stephen J. Scherf
Hearing Site: Philadelphia, PA
|  | $75,000 |
| 20-01743 | 12/10/2020 | Claimant(s): Bryan Andersen
Claimant Lawyers(s): Bryan C. Andersen
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Greg Scanlon
Arbitrator(s): Rafael A. Porrata-Doria
Hearing Site: Philadelphia, PA
| | $38 |
| 16-02190 | 03/29/2017 | Claimant(s): Randy Mims, IRA
Claimant Lawyers(s): Randy Mims
Respondent(s): Gregory Kuhn
Respondent Lawyers(s): Joel Davidson
Arbitrator(s): Rafael A. Porrata-Doria, Kathleen K. Murphy, Leo J. Karwejna
Hearing Site: Philadelphia, PA
| | $0 |
| 14-00993 | 04/14/2015 | Claimant(s): Daniel Emmer
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Rafael A. Porrata-Doria
Hearing Site: Philadelphia, PA
| | $0 |
| 13-00353 | 11/20/2014 | Claimant(s): Margaret Vasily
Claimant Lawyers(s): Russell S. Burnside
Respondent(s): Alexander Swanson, Horan Capital Management
Respondent Lawyers(s): Brian Carlis, Howard E. Greenberg
Arbitrator(s): Rafael A. Porrata-Doria, Alan J. Blocher, Kevin Joseph O'Malley
Hearing Site: Philadelphia, PA
| | $479,116 |
| 11-03025 | 12/06/2013 | Claimant(s): James W. Umstead & Betty L. Umstead
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Nations Financial Group.
Respondent Lawyers(s): William T. McCartan
Arbitrator(s): Rafael A. Porrata-Doria, Margaret Mary Crumley, Paul Ribner
Hearing Site: Philadelphia, PA
| | $230,124 |
| 11-03427 | 10/01/2013 | Claimant(s): Norman Hunsinger
Claimant Lawyers(s): John R. Crayton
Respondent(s): Brian Carr
Respondent Lawyers(s): Brian P. Carr
Arbitrator(s): Robert F. Sanville, Rafael A. Porrata-Doria, Shelley J. Michaels
Hearing Site: Philadelphia, PA
| | $294,645 |
| 10-01484 | 07/07/2011 | Claimant(s): O. Robert Marino & Linda Marino
Claimant Lawyers(s): Henry I. Pass
Respondent(s): Klaus Miller, Banc of America Securities LLC, Merrill Lynch Pierce Fenner & Smith Inc., The Hoey Group
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Rafael A. Porrata-Doria, John J. Jordan, Howard B. Scherer
Hearing Site: Philadelphia, PA
| | Expungement |
| 09-03588 | 12/22/2009 | Claimant(s): Helene Intraub
Claimant Lawyers(s): Helene Intraub
Respondent(s): TIAA-Cref Individual & Institutional Svs
Respondent Lawyers(s): Carranza M. Pryor
Arbitrator(s): Rafael A. Porrata-Doria
Hearing Site: Philadelphia, PA
| | $11,723 |
