| 23-02538 | 06/07/2024 | Claimant(s): Barnes Keller, Dale Hopkins, David Handy, Doug Ross, Kevin Major, Lawrence Clarke, Robert Burkett, Robert Grasso, Ted Brown
Claimant Lawyers(s): Brandon Dei
Respondent(s): Alexander Simpson, Derrick Walsh, Gary Wiedman, Kathy Faucher, Shawn Kinsella, Axos Clearing LLC
Respondent Lawyers(s): Carl S. Burkhalter
Arbitrator(s): Steven C. Kempisty, Esq.
Hearing Site: Albany, NY
|  | Dismissed by Rule 12504 |
| 15-00661 | 02/26/2016 | Claimant(s): Robert Flemming and Josephine Flemming
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Patrick R. Westerkamp, Esq.
Hearing Site: Philadelphia, PA
| | Dismissed by Rule 12206 |
| 12-03753 | 08/07/2014 | Claimant(s): Celia Shecter
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Michael P. Marryshow, Patrick R. Westerkamp, Esq., Harold Yaskin
Hearing Site: Philadelphia, PA
| | Expungement |
| 09-02087 | 12/20/2010 | Claimant(s): Thomas Motamed, Thomas Motamed and Christine Motamed
Claimant Lawyers(s): G. Trenholm Walker
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Richard L Martens
Arbitrator(s): Carol Corbett, John L. Braxton, Patrick R. Westerkamp, Esq.
Hearing Site: Philadelphia, PA
| | $2,200,000 |
