| 23-00701 | 11/20/2023 | Claimant(s): Marc Basist
Claimant Lawyers(s): Adam Gana
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): John James McGovern
Hearing Site: Philadelphia, PA
|  | Dismissed by Rule 12206(b) |
| 23-01583 | 10/20/2023 | Claimant(s): Mariano Tancredi
Claimant Lawyers(s): Mariano Tancredi
Respondent(s): Andreas Wochtl, Wells Fargo Clearing Services
Respondent Lawyers(s): Jason Kempf
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
| | $5,075 |
| 22-02304 | 10/12/2023 | Claimant(s): Joel Swartz, Germantown Imaging Associates
Claimant Lawyers(s): Joel D. Swartz
Respondent(s): Erik Snyder, Fidelity Brokerage Services LLC, Rich Hargis
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Lorrie E Whitfield
Hearing Site: Philadelphia, PA
| | $0 |
| 23-01529 | 10/09/2023 | Claimant(s): Debora Scholl
Claimant Lawyers(s): Debora Scholl
Respondent(s): Alexis Cain, Lincoln Investment
Respondent Lawyers(s): Matthew Sherlock, Sean L. Corgan
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
| | $0 |
| 22-00442 | 06/20/2023 | Claimant(s): Ronald Kapusta
Claimant Lawyers(s): Peter Kreher
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Joyce
Arbitrator(s): Guillermo L. Bosch, Doris J. Dabrowski, Joseph Patrick Murphy
Hearing Site: Philadelphia, PA
| | Expungement |
| 22-00692 | 06/01/2023 | Claimant(s): Cheryl Weigel, Executrix
Claimant Lawyers(s): Michael P. Stanton
Respondent(s): Wells Fargo Clearing Services, Robert Cautilli
Respondent Lawyers(s): Jeffery D. Rodgers, Jr.
Arbitrator(s): Guillermo L. Bosch, Arnold Peter Borish, Annya Baskerville
Hearing Site: Philadelphia, PA
| | Expungement |
| 22-01509 | 05/24/2023 | Claimant(s): Robert Jordan
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Austin Dutton, Primex
Respondent Lawyers(s): Austin Richard Dutton, Wil Felix
Arbitrator(s): Elliot B. Platt, Gail Marie Noel, Namsoo Marcus Dunbar
Hearing Site: Philadelphia, PA
| | $43,645 |
| 20-04212 | 02/28/2023 | Claimant(s): Drew Shaw, Linda Shaw, Estate of Edna Shaw
Claimant Lawyers(s): Linda Shaw
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): George Forest Bingham, Mary S. Wyatte, Larry Cheskawich
Hearing Site: Philadelphia, PA
| | Expungement |
| 18-02342 | 12/27/2022 | Claimant(s): Marianne Antczak
Claimant Lawyers(s): Theodor A. Swansen
Respondent(s): Bridget Fernandez, TD Ameritrade Clearing., TD Ameritrade., TD Ameritrade Investment Management
Respondent Lawyers(s): Bridget A. Fernandez, Neils P. Murphy
Arbitrator(s): Donald S. Bauman, George Aleman, Andrew S. Walsh
Hearing Site: Philadelphia, PA
| | $1,662,660 |
| 20-00452 | 12/02/2022 | Claimant(s): Barbara Moger
Claimant Lawyers(s): Christopher J. Albanese
Respondent(s): Christopher Braccia, Stephen Oliver, First Allied Securities.
Respondent Lawyers(s): Garry T. Stevens
Arbitrator(s): Diane Ciccone, Carol H. Gold, Christin Kim
Hearing Site: Philadelphia, PA
| | Expungement |
