| 16-03575 | 08/16/2018 | Claimant(s): Cheryl Frank, Jonathan Frank
Claimant Lawyers(s): Jonathan Alan Frank
Respondent(s): Morgan Stanley, Mark Milligan
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Elliot B. Platt, Doris J. Dabrowski, Catherine S. Kopley
Hearing Site: Philadelphia, PA
|  | Expungement |
| 17-02199 | 07/18/2018 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D Berg
Respondent(s): Lance Shaw
Respondent Lawyers(s): Lance Shaw
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Philadelphia, PA
| | $0 |
| 16-02423 | 07/10/2018 | Claimant(s): Victor Novelli
Claimant Lawyers(s): Raymond J Falzone
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): T.R. Bynum
Arbitrator(s): Gordon M. Wase, George Aleman, Timothy Nolan Donahue
Hearing Site: Philadelphia, PA
| | Expungement |
| 16-03694 | 07/09/2018 | Claimant(s): Joan Cassidy, Robert Cassidy
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): The Investment Center.
Respondent Lawyers(s): Denis Dice
Arbitrator(s): Guillermo L. Bosch, Mark E. Hollern, Allen M. Kerpan
Hearing Site: Philadelphia, PA
| | Expungement |
| 17-01018 | 06/15/2018 | Claimant(s): Judith Craig
Claimant Lawyers(s): Theodor Swansen
Respondent(s): David McDonald, J.J.B. Hilliard, W.L. Lyons, Mark Kregor
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): John J. Jordan, Steven T. Stern, Stephen J. Scherf
Hearing Site: Philadelphia, PA
| | Expungement |
| 16-03097 | 05/25/2018 | Claimant(s): Jacqueline Kavas, Ronald Kavas, Sharane Kavas
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Guillermo L. Bosch, John William Hannan, Timothy C Russell
Hearing Site: Philadelphia, PA
| | Expungement |
| 16-00815 | 05/02/2018 | Claimant(s): Nicholas Monaghan
Claimant Lawyers(s): Andrew J. Levin
Respondent(s): Morgan Stanley, Citigroup Global Markets., John Graff
Respondent Lawyers(s): Jeremy S. Winer, John Robert Graff
Arbitrator(s): Gordon M. Wase, William W. Lowe, Paul Albert Bechtel
Hearing Site: Philadelphia, PA
| | $0 |
| 17-00752 | 03/22/2018 | Claimant(s): Cynthia Boylen-Pieja
Claimant Lawyers(s): James Malachy Meaney
Respondent(s): Anastasios Belesis
Respondent Lawyers(s): Anthony Varbero
Arbitrator(s): John J. Jordan
Hearing Site: Philadelphia, PA
| | Dismissed by Rule 12206 |
| 17-00039 | 03/05/2018 | Claimant(s): Jeffrey Nadu, Patricia Nadu, Jeffrey Nadu IRA, Patricia Nadu IRA
Claimant Lawyers(s): Gary Menzer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): George Reath, Donald S. Bauman, Thomas E Kopil
Hearing Site: Philadelphia, PA
| | Expungement |
| 16-01293 | 01/19/2018 | Claimant(s): Ana DeFelice, Angelo Benedetto, Barbara Lake, Eugene Mahon, Gail Eichelberger, Gloria Kittner, Grace Warner, Harold Warner, Herbert Kittner, James Lake, Jane Hocking, John Eichelberger, John Hocking, Kenneth DeFelice, Marjann Mahon, Edward and Helen Kobal, Thomas and Arlene Richardson
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Anthony Diaz
Respondent Lawyers(s): Anthony Diaz
Arbitrator(s): Rochelle K. Kaplan
Hearing Site: Philadelphia, PA
| | $4,339,300 |
