| 14-01895 | 03/10/2015 | Claimant(s): Emily Martin
Claimant Lawyers(s): Emily Shay Martin
Respondent(s): UBS Financial Services Inc., Rainey Miller
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Gordon M. Wase
Hearing Site: Philadelphia, PA
|  | $40,000 |
| 13-02694 | 01/21/2015 | Claimant(s): Estate of Lydia Grabania
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Ali Sabetghadam
Arbitrator(s): Rochelle K. Kaplan, Julie K. Chapin, Edward Vincent Zenzola
Hearing Site: Philadelphia, PA
| | Expungement |
| 13-01775 | 01/16/2015 | Claimant(s): Betty Schechter, Claire Schechter
Claimant Lawyers(s): Alex E. Rogers
Respondent(s): Wells Fargo Advisors, H. Pietraccini
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Michael P. Marryshow, Catherine Stewart, Robin L. Lewis
Hearing Site: Philadelphia, PA
| | Expungement |
| 13-02251 | 01/05/2015 | Claimant(s): Thomas Bradley, Thomas Bradley IRA
Claimant Lawyers(s): Dan A. Druz
Respondent(s): Timothy Ennis, Janney Montgomery Scott LLC
Respondent Lawyers(s): Julie E. Ravis
Arbitrator(s): Elizabeth A. McKinney, Michael P. Marryshow, Kathleen Jones Spilker
Hearing Site: Philadelphia, PA
| | $0 |
| 13-03054 | 12/30/2014 | Claimant(s): Wayne Lewis
Claimant Lawyers(s): Wayne R. Lewis
Respondent(s): Ameriprise Financial Services., Lawrence Van Ollefen
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Steven T. Stern, Louis P. Wagman, Kathleen Jones Spilker
Hearing Site: Philadelphia, PA
| | $0 |
| 13-00048 | 12/26/2014 | Claimant(s): Carolyn Eachus, Warren Eachus
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Jill Leeds-Rivera, Kathleen K. Murphy, Paul Ribner
Hearing Site: Philadelphia, PA
| | Expungement |
| 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 |
| 13-01771 | 10/29/2014 | Claimant(s): Robert Brendell
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., William Seyle
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Jim Geiger, John Michael Derderian, L. Martin Miller
Hearing Site: Philadelphia, PA
| | Expungement |
| 12-04073 | 10/16/2014 | Claimant(s): Rose Gugliemetti
Claimant Lawyers(s): Scudder G. Stevens
Respondent(s): TD Ameritrade., TD Bank, USA
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
| | $13,750 |
| 10-04386 | 10/02/2014 | Claimant(s): Judith Goldman, Kenneth Goldman
Claimant Lawyers(s): Richard J. Gerace
Respondent(s): Barry Guariglia, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Toby S. Soli
Arbitrator(s): Jim Geiger, Doris J. Dabrowski, James T. McLaughlin
Hearing Site: Philadelphia, PA
| | $0 |
