| 20-03751 | 01/14/2022 | Claimant(s): Elizabeth Baucom, Richard Baucom, Richard Baucom IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Guillermo L. Bosch, Mary L. Sims, Louis P. Wagman
Hearing Site: Philadelphia, PA
|  | Dismissed by Rule 12206 |
| 19-00994 | 10/27/2021 | Claimant(s): Francesco Umbriaco
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Allen Wagner, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Jim Geiger, Thomas R Nathan, Jason L Pearlman
Hearing Site: Philadelphia, PA
| | Expungement |
| 21-01007 | 10/19/2021 | Claimant(s): Edward Rupertus
Claimant Lawyers(s): Robert Kerrigan
Respondent(s): Christ Baltas
Respondent Lawyers(s): Christ Elias Baltas
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
| | $14,420 |
| 19-00408 | 10/15/2021 | Claimant(s): Mary Gilotti, Vincent Gilotti
Claimant Lawyers(s): David Sturgeon-Garcia
Respondent(s): Mutual Securities., Aaron Jasper, Julie Cohen, Mitchell Voss, Nicholas Damiani, Ryan Sabol
Respondent Lawyers(s): Jason T. Dennett
Arbitrator(s): Margaret Leggett Tarver, M. Melvin Shralow, Sheila Mercedes Griffith
Hearing Site: Philadelphia, PA
| | $716,250 |
| 21-01492 | 10/14/2021 | Claimant(s): Matthew Plevelich
Claimant Lawyers(s): Matthew Plevelich
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): John James McGovern
Hearing Site: Philadelphia, PA
| | $0 |
| 18-01020 | 10/06/2021 | Claimant(s): Nancy Tucker
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Steven T. Stern, Gordon M. Wase, Kerrie A. Campbell-Garrett
Hearing Site: Philadelphia, PA
| | $104,900 |
| 20-01958 | 09/15/2021 | Claimant(s): Ernest Guenin, Monique Guenin
Claimant Lawyers(s): Peter M. Good
Respondent(s): Joseph Trifiletti, Stephen Distante, Stephen Trask, Steven Howe, Thomas Murphy, Vanderbilt Securities
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Diane Ciccone, Gregory J. Spadea, Peter George Erdely
Hearing Site: Philadelphia, PA
| | $200,000 |
| 19-00822 | 07/12/2021 | Claimant(s): James Collins
Claimant Lawyers(s): Adam M. Green
Respondent(s): Stephen DeCesare, Triad Advisors LLC
Respondent Lawyers(s): Brian A. Carlis, James A. McGovern
Arbitrator(s): Julie K. Chapin, Mary S. Wyatte, Anne O'Connell Umbrecht
Hearing Site: Philadelphia, PA
| | Expungement |
| 20-02888 | 05/13/2021 | Claimant(s): Gerald Corrigan
Claimant Lawyers(s): Gerald A. Corrigan
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffrey D. Rodgers
Arbitrator(s): John James McGovern
Hearing Site: Philadelphia, PA
| | $125 |
| 19-00999 | 03/05/2021 | Claimant(s): Emily Sandusky
Claimant Lawyers(s): Richard Gerace
Respondent(s): David Lerner Associates., Jeffrey Zelka
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
| | Expungement |
