| 23-00587 | 09/13/2024 | Claimant(s): Carol Parks
Claimant Lawyers(s): Jason Doss
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Gordon M. Wase, Armand Philip Lione, Julius P. Terrell
Hearing Site: Washington, DC
|  | Expungement |
| 22-00794 | 04/06/2023 | Claimant(s): Norman Williams
Claimant Lawyers(s): Mark J. Krudys
Respondent(s): Frederick Hughes, Wells Fargo Clearing Services
Respondent Lawyers(s): Shea O'Brien Hicks
Arbitrator(s): Gordon M. Wase, Arthur B. O'Connell, John D. Mattingly
Hearing Site: Norfolk, VA
| | $475,625 |
| 18-04158 | 07/07/2022 | Claimant(s): Estate of Bernard Rex
Claimant Lawyers(s): Wiliam P. Rubley
Respondent(s): Thomas McDevitt
Respondent Lawyers(s): Thomas Anthony McDevitt
Arbitrator(s): Gordon M. Wase, Allen M. Kerpan, George Aleman
Hearing Site: Philadelphia, PA
| | $100,000 |
| 20-02535 | 05/26/2022 | Claimant(s): Anthony Lombard
Claimant Lawyers(s): Anthony P. Monzo
Respondent(s): James Schultz, Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): George Forest Bingham, Gordon M. Wase, John T. Hausladen
Hearing Site: Philadelphia, PA
| | Expungement |
| 20-03291 | 02/25/2022 | Claimant(s): Robert Refice IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Gordon M. Wase, Kathleen Jones Spilker, Joseph Patrick Murphy
Hearing Site: Philadelphia, PA
| | Expungement |
| 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 |
| 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 |
| 19-01757 | 08/25/2020 | Claimant(s): Antoine Hill
Claimant Lawyers(s): Thomas H. Roberts
Respondent(s): Andrew Donnelly, Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Elliot B. Platt, Gordon M. Wase, Jane Tam
Hearing Site: Richmond, VA
| | $0 |
| 18-01136 | 07/15/2019 | Claimant(s): Joseph Pokego, Ruth Pokego
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Gordon M. Wase
Hearing Site: Philadelphia, PA
| | Expungement |
| 17-00776 | 11/06/2018 | Claimant(s): Ellen Scherer
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): Martin Leclerc, Barrack Yark Advisors, Coastal Equities., Trade-PMR Inc.
Respondent Lawyers(s): Dana Gloor, Samuel E. Cohen
Arbitrator(s): Gordon M. Wase, Ronald P. Wertheim, Richard M. Rosenbleeth
Hearing Site: Philadelphia, PA
| | Expungement |
