| 23-02053 | 08/13/2024 | Claimant(s): William Stone
Claimant Lawyers(s): Alex E. Rogers
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Peter George Erdely
Hearing Site: Philadelphia, PA
|  | Expungement |
| 23-03521 | 07/31/2024 | Claimant(s): Venkatesh Kaliappan
Claimant Lawyers(s): Venkatesh Kaliappan
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jason O. Billy
Arbitrator(s): Laura A. Kaster
Hearing Site: Philadelphia, PA
| | $0 |
| 23-01910 | 04/25/2024 | Claimant(s): Eric Jensen
Claimant Lawyers(s): Eric Jensen
Respondent(s): Peter Bednarek
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Mary S. Wyatte
Hearing Site: Philadelphia, PA
| | $300 |
| 23-01030 | 03/28/2024 | Claimant(s): Dorothy Harnish, Glenn Harnish
Claimant Lawyers(s): Michael S. Hill
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Philadelphia, PA
| | $225 |
| 22-01799 | 02/26/2024 | Claimant(s): Matthew Bennett, Melissa Bennett
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kuan Huang
Arbitrator(s): Guillermo L. Bosch, Doris J. Dabrowski, Evan K. Aidman
Hearing Site: Philadelphia, PA
| | $425,000 |
| 23-02157 | 01/18/2024 | Claimant(s): Eric Johnson
Claimant Lawyers(s): Eric Johnson
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kevin S. Blume
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
| | $0 |
| 23-01376 | 12/14/2023 | Claimant(s): Zakira Chambers
Claimant Lawyers(s): Zakira Chambers
Respondent(s): Navy Federal Investment Services
Respondent Lawyers(s): Marissa S. Bacino
Arbitrator(s): Andrew S. Walsh
Hearing Site: Philadelphia, PA
| | Dismissed by Rule 12504 |
| 23-01148 | 12/08/2023 | Claimant(s): Claude Pizio, Patrick Deveraux, Robert Bozzi, Todd Rathe
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): Fred W. Miller
Hearing Site: Philadelphia, PA
| | $0 |
| 23-00768 | 12/08/2023 | Claimant(s): Michael Moses
Claimant Lawyers(s): Courtney M. Werning
Respondent(s): Edward Jones
Respondent Lawyers(s): Joe N. Nguyen
Arbitrator(s): Carol H. Gold, Colin Bell, Stacey Frenche
Hearing Site: Philadelphia, PA
| | Expungement |
| 22-01818 | 12/01/2023 | Claimant(s): Gerald Bruns, Sandra Bruns
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): Gregory Hunter Mathews, Jason L Pearlman, Sharon Beth Eckstein
Hearing Site: Philadelphia, PA
| | Dismissed by Rule 12206 |
