| 14-02040 | 05/04/2015 | Claimant(s): Christine Johnson, Donna Johnson, Susan Bennett
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Gordon M. Wase, Michael P. Marryshow, Donald S. Bauman
Hearing Site: Philadelphia, PA
|  | Expungement |
| 14-00800 | 03/27/2015 | Claimant(s): Michael Gregory Duke
Claimant Lawyers(s): Michael Duke
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Cornelius C. Clancy, Diane Ciccone, Gordon M. Wase
Hearing Site: Philadelphia, PA
| | $0 |
| 14-01895 | 03/10/2015 | Claimant(s): Emily Martin
Claimant Lawyers(s): Emily Shay Martin
Respondent(s): UBS Financial Services Inc., Rainey Miller
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Gordon M. Wase
Hearing Site: Philadelphia, PA
| | $40,000 |
| 13-03390 | 09/09/2014 | Claimant(s): Kenneth Rubin and Lisa Rubin, 2012 Rubin Family Irrevocable Trust
Claimant Lawyers(s): Robert Grundlock
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Gordon M. Wase
Hearing Site: Philadelphia, PA
| | $0 |
| 14-00360 | 07/30/2014 | Claimant(s): Betty Brown
Claimant Lawyers(s): Betty Brown
Respondent(s): Andrew Lenich, Cambridge Investment Research.
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Gordon M. Wase
Hearing Site: Baltimore, MD
| | $0 |
| 13-03523 | 06/30/2014 | Claimant(s): Vimala Kannan
Claimant Lawyers(s): Vimala Kannan
Respondent(s): Steven Schmitt
Respondent Lawyers(s): Rhonda A. Wilson
Arbitrator(s): Gordon M. Wase
Hearing Site: Philadelphia, PA
| | $0 |
| 12-03075 | 01/07/2014 | Claimant(s): Lachman Dass Gupta and Manjula Gupta
Claimant Lawyers(s): Lachhman Dass Gupta
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Gordon M. Wase, Wilbert H. Luck, Glenn J. Hansen
Hearing Site: Wilmington, DE
| | $0 |
| 12-01930 | 01/10/2013 | Claimant(s): Joan Fugok
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Jamie Lake, Triad Advisors.
Respondent Lawyers(s): Daniel I. MacIntyre, Jamie Patrick Lake
Arbitrator(s): Gordon M. Wase
Hearing Site: Philadelphia, PA
| | $0 |
| 10-02643 | 04/26/2012 | Claimant(s): Caron Masucci, Douglas Masucci
Claimant Lawyers(s): Joseph C. Korsak
Respondent(s): Morgan Stanley, William Crumrine
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Edward T. Borer, Marshall S. Galinsky, Gordon M. Wase
Hearing Site: Philadelphia, PA
| | $0 |
| 08-01185 | 07/11/2011 | Claimant(s): Laurence Stone
Claimant Lawyers(s): Eric Meyer
Respondent(s): J.P. Morgan Clearing Corp., J.P. Morgan Securities, Bear Stearns Asset Management.
Respondent Lawyers(s): Edward W. Larkin, Gene L Small
Arbitrator(s): Dale A. Pope, Gordon M. Wase, Jerrilyn G. Marston
Hearing Site: Philadelphia, PA
| | $0 |
