| 11-00605 | 07/03/2012 | Claimant(s): Alexander Schernecke
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Wells Fargo Advisors, Jamie Baraldi, UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano, Brian A. Carlis, Edward W. Larkin
Arbitrator(s): Sheldon Seligsohn, Jerry Schuchman, Frank P. Santangelo
Hearing Site: Philadelphia, PA
|  | Expungement |
| 10-04699 | 06/20/2012 | Claimant(s): Frank Umbriac
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): CCO Investment Services Corp.
Respondent Lawyers(s): Nipun J. Patel
Arbitrator(s): Diane Ciccone, Robert W. Ratti, David B. Harwi
Hearing Site: Philadelphia, PA
| | $50,000 |
| 10-04544 | 06/14/2012 | Claimant(s): Lewis Shupe
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julita Kargol
Arbitrator(s): Mark E. Hollern, Demetrio S. Timban, John E. Felch
Hearing Site: Philadelphia, PA
| | Expungement |
| 10-04042 | 05/25/2012 | Claimant(s): Dalia Jakas
Claimant Lawyers(s): Michael M. Steinmetz
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Michael R. Weissmann
Arbitrator(s): Michael E. Scullin, Walter R. Milbourne, Catherine S. Kopley
Hearing Site: Philadelphia, PA
| | Expungement |
| 11-03184 | 04/27/2012 | Claimant(s): Barry Adelman
Claimant Lawyers(s): Joseph E. Kluger
Respondent(s): John Gager, Thomas Schorn, First Allied Securities.
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Marshall S. Galinsky
Hearing Site: Philadelphia, PA
| | $25,425 |
| 10-02643 | 04/26/2012 | Claimant(s): Caron Masucci, Douglas Masucci
Claimant Lawyers(s): Joseph C. Korsak
Respondent(s): Morgan Stanley, William Crumrine
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Edward T. Borer, Marshall S. Galinsky, Gordon M. Wase
Hearing Site: Philadelphia, PA
| | $0 |
| 10-03602 | 04/04/2012 | Claimant(s): Eiko Nernoff, John Nernoff
Claimant Lawyers(s): Steven R. Blair
Respondent(s): William Lex
Respondent Lawyers(s): Gilbert B. Abramson
Arbitrator(s): Daniel J. McCarthy, Peter A. Scarpato, Peter Edward Sheridan
Hearing Site: Philadelphia, PA
| | $0 |
| 11-00259 | 03/28/2012 | Claimant(s): Kenneth White
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Cuna Brokerage Services.
Respondent Lawyers(s): Louis H. Castoria
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
| | $0 |
| 09-03823 | 03/23/2012 | Claimant(s): Phensiri Kalmbach
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Dennis C. Dice
Arbitrator(s): Jerry Schuchman, John T. Hausladen
Hearing Site: Philadelphia, PA
| | Expungement |
| 11-01308 | 03/09/2012 | Claimant(s): Daniel Rosenthal, Robert Hirsh
Claimant Lawyers(s): Herbert Beigel
Respondent(s): William Fretz, The Keystone Equities Group, L.P.
Respondent Lawyers(s): Mu'min F. Islam
Arbitrator(s): Guillermo L. Bosch, John P. Hughes, Walter R. Milbourne
Hearing Site: Philadelphia, PA
| | $0 |
