| 12-02908 | 01/16/2014 | Claimant(s): Colleen Bailey, Ronald Bailey
Claimant Lawyers(s): Michael Hill
Respondent(s): Josh Jalinski, TFS Securities.
Respondent Lawyers(s): Kate E. DiGeronimo, Russell S. Burnside
Arbitrator(s): Roslyn G. Pollack
Hearing Site: Philadelphia, PA
|  | Expungement |
| 12-02879 | 01/15/2014 | Claimant(s): Arlene Brooke
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): Paul Ribner
Hearing Site: Philadelphia, PA
| | Expungement |
| 12-03610 | 01/14/2014 | Claimant(s): Joseph Czarnecki, Nancy Czarnecki
Claimant Lawyers(s): Glenn S. Gitomer
Respondent(s): Securities America., Michael Sztrom, Raymond Lucia, First Allied Securities., RJL Wealth Management, Raymond J. Lucia Companies.
Respondent Lawyers(s): Denis C. Dice, Michael Sztrom, Neal S. Robb
Arbitrator(s): Sheldon Seligsohn, Ethan L. Lewis, Laura A. Kaster
Hearing Site: Philadelphia, PA
| | Expungement |
| 13-00033 | 12/16/2013 | Claimant(s): Phone Sales USA., Randy Mims IRA
Claimant Lawyers(s): Randy Mims
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Alan J. Blocher, Kenneth D. Morris, Robin L. Lewis
Hearing Site: Philadelphia, PA
| | $10,000 |
| 11-03025 | 12/06/2013 | Claimant(s): James W. Umstead & Betty L. Umstead
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Nations Financial Group.
Respondent Lawyers(s): William T. McCartan
Arbitrator(s): Rafael A. Porrata-Doria, Margaret Mary Crumley, Paul Ribner
Hearing Site: Philadelphia, PA
| | $230,124 |
| 12-01031 | 12/04/2013 | Claimant(s): William Turner
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Anthony Lodati, Yousuf Saljooki, Brookville Capital Partners
Respondent Lawyers(s): Brett D. Zinner
Arbitrator(s): Ronald P. Wertheim
Hearing Site: Philadelphia, PA
| | Expungement |
| 13-01731 | 12/04/2013 | Claimant(s): Jerome Miller
Claimant Lawyers(s): Jerome Miller
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Steven T. Stern
Hearing Site: Philadelphia, PA
| | $0 |
| 10-04321 | 12/03/2013 | Claimant(s): Frederick Lewis, Lois Lewis
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Joseph A. Vallo
Arbitrator(s): John J. Jordan, Stephen T. Mayhew, Michael P. Marryshow
Hearing Site: Philadelphia, PA
| | $297,516 |
| 12-02526 | 11/26/2013 | Claimant(s): Maryann Araman, Antone Araman
Claimant Lawyers(s): Glenn S. Gitomer
Respondent(s): Joseph Gunnar & Co. LLC
Respondent Lawyers(s): John E. Lawlor
Arbitrator(s): Diane Ciccone, Kathleen L. Daerr-Bannon, Timothy James Potero
Hearing Site: Philadelphia, PA
| | $674,030 |
| 12-01411 | 11/22/2013 | Claimant(s): George Mabrey
Claimant Lawyers(s): Steven H. Berkowitz
Respondent(s): Charles Ehnot, Wells Fargo Advisors, Midsouth Capital.
Respondent Lawyers(s): Demian J. Betz, Robert J. Murphy
Arbitrator(s): Thomas Benjamin Salzer, Michael P. Marryshow, Joseph J. Dougherty
Hearing Site: Philadelphia, PA
| | $0 |
