| 20-03287 | 02/01/2021 | Claimant(s): John Mazuroski
Claimant Lawyers(s): Michael J. Giarrusso
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): George Forest Bingham
Hearing Site: Philadelphia, PA
|  | $14,600 |
| 19-03577 | 12/15/2020 | Claimant(s): Lana Salerno, Robert Kelly
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Philadelphia, PA
| | Settlement |
| 20-01743 | 12/10/2020 | Claimant(s): Bryan Andersen
Claimant Lawyers(s): Bryan C. Andersen
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Greg Scanlon
Arbitrator(s): Rafael A. Porrata-Doria
Hearing Site: Philadelphia, PA
| | $38 |
| 19-00567 | 12/03/2020 | Claimant(s): Peter Radle
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Mark Kemp, National Planning Corporation
Respondent Lawyers(s): Kate E. DiGeronimo
Arbitrator(s): Gordon M. Wase, Thomas Warfield Harrity, Douglas Cheston Berlin
Hearing Site: Philadelphia, PA
| | Dismissed |
| 19-02013 | 06/12/2020 | Claimant(s): Lucy Schneiberg, Yuri Schneiberg
Claimant Lawyers(s): William W. Uchimoto
Respondent(s): Wells Fargo Clearing Services, Scott Kaminsky
Respondent Lawyers(s): Gerry Kowalski, Henry F. Reichner
Arbitrator(s): Cornelius C. Clancy, Louis P. Wagman, Harold Yaskin
Hearing Site: Philadelphia, PA
| | $0 |
| 19-02229 | 04/02/2020 | Claimant(s): Susan Mesaros
Claimant Lawyers(s): Susan B. Mesaros
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Brandon K. Hemley
Arbitrator(s): Laura A. Kaster
Hearing Site: Philadelphia, PA
| | $0 |
| 19-02882 | 01/28/2020 | Claimant(s): Bin Dong
Claimant Lawyers(s): Bin Dong
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Simeon Schopf
Arbitrator(s): George Forest Bingham
Hearing Site: Philadelphia, PA
| | $163 |
| 18-03863 | 12/06/2019 | Claimant(s): David Maturi
Claimant Lawyers(s): Jorge M. Altamirano
Respondent(s): L.O. Thomas & Co. Inc.
Respondent Lawyers(s): Marc S. Gottlieb
Arbitrator(s): Diane Ciccone, Carol H. Gold, Mark H. Stein
Hearing Site: Philadelphia, PA
| | $0 |
| 18-03187 | 11/21/2019 | Claimant(s): Ann Ginsberg, Gene Ginsberg, Gene H. Ginsberg & Ann R. Ginsberg Trust
Claimant Lawyers(s): David A Conti
Respondent(s): Stifel, Nicolaus & Co.., Lawrence Delhagen, Michael O'Keefe
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Mark H. Stein, Patrick R. Westerkamp, Gerard Thompson
Hearing Site: Philadelphia, PA
| | $0 |
| 17-02942 | 11/06/2019 | Claimant(s): Jerome Weiner, Sandra Weiner
Claimant Lawyers(s): Jerome Weiner
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Jim Geiger, Alan J. Blocher, Kathleen Jones Spilker
Hearing Site: Philadelphia, PA
| | $0 |
