| 13-02531 | 06/02/2014 | Claimant(s): Stuart Cahn
Claimant Lawyers(s): Marc Cahn
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Rochelle K. Kaplan
Hearing Site: Philadelphia, PA
|  | Expungement |
| 13-00722 | 05/30/2014 | Claimant(s): James Salvano, Rene Salvano
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Morgan Stanley Smith Barney LLC
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Rochelle K. Kaplan
Hearing Site: Philadelphia, PA
| | Expungement |
| 13-01707 | 05/30/2014 | Claimant(s): Susan Frankel
Claimant Lawyers(s): Adam M. Green
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
| | Expungement |
| 12-04104 | 05/20/2014 | Claimant(s): William Ey
Claimant Lawyers(s): Christopher C. Coss
Respondent(s): Brian Allen, RBC Wealth Management
Respondent Lawyers(s): Brian Joseph Allen, Dennis C. Dice
Arbitrator(s): Alan J. Blocher, Kathleen K. Murphy, William J. Hirsch
Hearing Site: Philadelphia, PA
| | Expungement |
| 13-02910 | 04/25/2014 | Claimant(s): Victoria Blevins
Claimant Lawyers(s): Victoria L. Blevins
Respondent(s): Wells Fargo Advisors, Gerald Kessler
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Philadelphia, PA
| | $2,225 |
| 09-06659 | 04/23/2014 | Claimant(s): Christine Sone
Claimant Lawyers(s): Chad N. Cagan
Respondent(s): Stephen Barr, Bishop, Rosen & Co..
Respondent Lawyers(s): Martin S. Siegel
Arbitrator(s): Bernard Herman, David B. Harwi, Robert C. Scanlan
Hearing Site: Philadelphia, PA
| | $300 |
| 12-00180 | 04/02/2014 | Claimant(s): Carole Shrager, Jay Shrager
Claimant Lawyers(s): Aaron M. Goldsmith
Respondent(s): Ronald Moschetta, Strasbourger Pearson Tulcin Wolff Inc.
Respondent Lawyers(s): Ronald Moschetta
Arbitrator(s): Daniel J. McCarthy, Paul J. Greco, Glenn J. Hansen
Hearing Site: Philadelphia, PA
| | $0 |
| 13-01467 | 04/02/2014 | Claimant(s): Tao Pan
Claimant Lawyers(s): Tao Pan
Respondent(s): James Marino
Respondent Lawyers(s): Brent J. Burtin
Arbitrator(s): Sheldon Seligsohn
Hearing Site: Philadelphia, PA
| | $175 |
| 12-04116 | 02/05/2014 | Claimant(s): Christine Petka, Kimberly Petka-Gillingham, Louis Gillingham, Vincent Petka
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): John Tillger
Respondent Lawyers(s): John Joseph Tillger
Arbitrator(s): Richard N. Kelmans
Hearing Site: Philadelphia, PA
| | $0 |
| 10-04703 | 01/28/2014 | Claimant(s): Jane Katzen
Claimant Lawyers(s): Alan Gilmore
Respondent(s): Frank Faverzani, Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): E. William Pastor, Glenn J. Hansen, Paul Ribner
Hearing Site: Philadelphia, PA
| | $375 |
