| 11-01164 | 12/23/2011 | Claimant(s): Michael Weiss
Claimant Lawyers(s): Michael Weiss
Respondent(s): Keith Steidle, Nationwide Planning Associates Inc.
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): B. David Jarashow, Margaret Leggett Tarver, David Marcus
Hearing Site: Newark, NJ
|  | Expungement |
| 09-07080 | 10/11/2011 | Claimant(s): Inge Lake Pre School.
Claimant Lawyers(s): Kim Taylor
Respondent(s): PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Anthony P. Connolly, Julian F. Santos, Stephanie M. Miller
Hearing Site: Newark, NJ
| | $12,063 |
| 10-05763 | 07/21/2011 | Claimant(s): John P. Fowlds and Brenda J. Fowlds
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): James Galloway, PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Monica I. Salis
Hearing Site: Boca Raton, FL
| | $0 |
| 10-01357 | 11/15/2010 | Claimant(s): Joseph Griglak IRA
Claimant Lawyers(s): Joseph Griglak
Respondent(s): Joseph Riccelli
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
| | $213 |
| 09-00444 | 03/16/2010 | Claimant(s): Dana Presti, Est of Ralph E. Dilks by Dana Presti Ex
Claimant Lawyers(s): Joseph M. Armstrong
Respondent(s): Ronald Aungst, PNC Investments LLC
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Guillermo L. Bosch, Joseph J. Dougherty, Catherine S. Kopley
Hearing Site: Philadelphia, PA
| | $0 |
| 09-04175 | 12/15/2009 | Claimant(s): Estate of Norma L. Marks
Claimant Lawyers(s): Alan Gilmore
Respondent(s): PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Michael E. Scullin
Hearing Site: Philadelphia, PA
| | $213 |
| 08-01704 | 06/19/2009 | Claimant(s): Kim Hafner, Veronica Harrison
Claimant Lawyers(s): Michael W. Hoffman
Respondent(s): John Holodinski, Michael Elias, PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Fred S. Pieroni
Hearing Site: Newark, NJ
| | $7,172 |
| 07-03214 | 01/22/2009 | Claimant(s): George Cubberly
Claimant Lawyers(s): George E. Cubberly
Respondent(s): PNC Investments LLC
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Maria D. Cirillo, Robert E. Anderson, Thomas A. Abitabile
Hearing Site: Newark, NJ
| | $0 |
| 07-03302 | 11/26/2008 | Claimant(s): PNC Investments
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): Victor D. Loper and Lonyae Loper
Respondent Lawyers(s): Victor D. Loper
Arbitrator(s): Patrick Sean Dolan
Hearing Site: Wilmington, DE
| | $0 |
| 03-02127 | 11/02/2007 | Claimant(s): William F. Garland
Claimant Lawyers(s): James Jay Seltzer
Respondent(s): Dale Low, Eric Salz, Charles Schwab & Co.., Samuel Berger, SDR Capital Management.
Respondent Lawyers(s): Brian A. Carlis, Richard A. Karoly
Arbitrator(s): Sterling N. Frost, Peter Kassel, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | Stipulated Award and Expungement |
