| 17-00997 | 07/17/2018 | Claimant(s): John Williams
Claimant Lawyers(s): Ann K. Sullivan
Respondent(s): Mark Stanley, Michael Matthews, Next Financial Group.
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Robert H. Putnam, Gordon M. Wase, Donald B. Katz
Hearing Site: Norfolk, VA
|  | $60,000 |
| 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 |
| 16-00815 | 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 |
| 16-03009 | 10/18/2017 | Claimant(s): Elizabeth Gallucci
Claimant Lawyers(s): Dennis Boyle
Respondent(s): Frank Kelly, HD Vest Investment Services
Respondent Lawyers(s): Rob Moses
Arbitrator(s): Gordon M. Wase
Hearing Site: Baltimore, MD
| | $0 |
| 16-00972 | 09/25/2017 | Claimant(s): John Patterson, Stella Patterson, John Patterson and Stella Patterson
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Ladenburg Thalmann & Co. Inc.
Respondent Lawyers(s): Michael D. Handelsman
Arbitrator(s): Gordon M. Wase, Kathleen K. Murphy, John James McGovern
Hearing Site: Philadelphia, PA
| | $358,200 |
| 16-00443 | 11/03/2016 | Claimant(s): The Atle Fjeld and Kirsten Fjeld joint L
Claimant Lawyers(s): Atle Fjeld
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Cornelius C. Clancy, Gordon M. Wase, Frank P. Santangelo
Hearing Site: Philadelphia, PA
| | $10,000 |
| 14-02356 | 05/31/2016 | Claimant(s): Janice Levy
Claimant Lawyers(s): Deborah R. Gross
Respondent(s): Wells Fargo Advisors, Kevin Larkin
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Gordon M. Wase, Fred M. Fleisher, Catherine Stewart
Hearing Site: Philadelphia, PA
| | $0 |
| 13-02607 | 11/12/2015 | Claimant(s): Chris Saporito
Claimant Lawyers(s): Jeffrey Steinbrecher
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Miles D. Hart
Arbitrator(s): Gordon M. Wase, Fred M. Fleisher, Donald Saunders Litman
Hearing Site: Philadelphia, PA
| | $0 |
| 15-00081 | 10/13/2015 | Claimant(s): Julian Osterneck
Claimant Lawyers(s): Julian Osterneck
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Gordon M. Wase
Hearing Site: Philadelphia, PA
| | $0 |
| 13-00209 | 08/21/2015 | Claimant(s): Michael Kohlenstein
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Bruce Oderman, Euro Pacific Capital.
Respondent Lawyers(s): Peter Chema, Robert J. Harvey
Arbitrator(s): Gordon M. Wase, John Leslie Coker, Naomi Ime Blake
Hearing Site: Baltimore, MD
| | $70,359 |
