| 08-03468 | 10/22/2010 | Claimant(s): Elizabeth Navarra, Josephine Liberta, Nina Craig, Rosalie Dalesio, James and Dorothy Visconti, Katherine and William Capewell, Paul and Angela Ortman, Randall and Maryellen Schell, Robert and Dorothy Heck, Steven and Shirley Kulchinsky
Claimant Lawyers(s): E. McCord Clayton
Respondent(s): Ameriprise Financial Services., Jeffrey Southard, GunnAllen Financial.
Respondent Lawyers(s): Brett A. Berman, Jeffery Joseph Southard, Marc Ellis
Arbitrator(s): Dale A. Pope, Kathleen K. Murphy, Walter R. Milbourne
Hearing Site: Philadelphia, PA
|  | $1,866,900 |
| 10-01045 | 10/05/2010 | Claimant(s): Doris A. Minck
Claimant Lawyers(s): Thomas E. Ciotti
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Patrick Howley
Arbitrator(s): Paul J. Greco
Hearing Site: Philadelphia, PA
| | $213 |
| 09-02397 | 09/02/2010 | Claimant(s): Joseph S. Chayka Rollover IRA
Claimant Lawyers(s): Ronald E. Miller
Respondent(s): Peter Higgins, Janney Montgomery Scott LLC
Respondent Lawyers(s): Jill B. Clarke
Arbitrator(s): Peter A. Scarpato
Hearing Site: Philadelphia, PA
| | Expungement |
| 08-04725 | 09/01/2010 | Claimant(s): Ronald Kline
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Richard Szuch
Arbitrator(s): Joseph L. Farrell, Edward F. Koren, Peter Edward Sheridan
Hearing Site: Philadelphia, PA
| | $0 |
| 09-02765 | 07/22/2010 | Claimant(s): Abraham Koch, Cecelia Koch, Trust U/A/D 12/27/90, Cecelia A. Koch Trust U/A/D 12/27/90
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Arthur Weissman, Douglas Kobak, Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Bernard Herman, Peter D. Shelp, Eugene M. Schloss
Hearing Site: Philadelphia, PA
| | Expungement |
| 09-03616 | 06/29/2010 | Claimant(s): Louise S. Hodge Multiple Powers Trust
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): John Hancock Distributors LLC
Respondent Lawyers(s): Stephanie P. Karn
Arbitrator(s): Edward T. Borer, John L. Braxton, Edward F. Koren
Hearing Site: Philadelphia, PA
| | $579,795 |
| 09-01881 | 06/07/2010 | Claimant(s): Betsy Klausman, Michael Klausman, IRA, MIchael Klausman, Roth IRA
Claimant Lawyers(s): Glenn S. Gitomer
Respondent(s): J. Alden Associates.
Respondent Lawyers(s): Rita Durant
Arbitrator(s): Benjamin F. Richards, Daniel E. Bacine, Peter Edward Sheridan
Hearing Site: Philadelphia, PA
| | $0 |
| 09-03927 | 05/25/2010 | Claimant(s): Greg Call, Kathy Call, Kelli Tuttle, Susan Visconti
Claimant Lawyers(s): E. McCord Clayton
Respondent(s): Jeffrey Southard
Respondent Lawyers(s): Jeffrey Joseph Southard
Arbitrator(s): John J. Jordan, Mary Ann M. Melchiorre, David B. Harwi
Hearing Site: Philadelphia, PA
| | $527,860 |
| 09-05686 | 05/24/2010 | Claimant(s): Joseph R and Bernadette M Rogers
Claimant Lawyers(s): Joseph R Rogers
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward Walton
Arbitrator(s): Catherine Stewart
Hearing Site: Philadelphia, PA
| | $7,856 |
| 09-03310 | 05/06/2010 | Claimant(s): Frank Kulbacki
Claimant Lawyers(s): John Kachmarsky
Respondent(s): Citigroup Global Markets., Legg Mason Wood Walker, Robert Phillips
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): Fred W. Miller, George F. Adams, Kenneth Joseph Beahan
Hearing Site: Philadelphia, PA
| | $0 |
