| 22-00728 | 09/12/2023 | Claimant(s): Robert Cappiello
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): McNally Financial Services Corporation
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Jacqueline R. Fox, Sherry R. Wetsch, Allan R. Lazor
Hearing Site: Houston, TX
|  | Expungement |
| 22-00358 | 02/14/2023 | Claimant(s): Michael Garrette
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Maurice M. Feller, Mimi B. Osiason, Kathy A. Tatone
Hearing Site: Tampa, FL
| | Dismissed by Rule 12206 |
| 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 |
| 18-04008 | 05/27/2021 | Claimant(s): Sharon Malone, Timothy Malone, Sardis Cemetery Properties.
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Andre Labarbera, David Levy, Richard Stoyeck, Titus Rockefeller
Respondent Lawyers(s): Andre Vincent Labarbera, David Michael Levy, Richard Christopher Stoyeck
Arbitrator(s): Lita S Menkin, John F. O'Neill, Lorraine King
Hearing Site: Atlanta, GA
| | $1,726,770 |
| 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 |
| 17-02422 | 01/14/2020 | Claimant(s): Delores Trupiano, Philip Trupiano, Delores R. Trupiano Rev. Trust, Philip J. Trupiano Rev. Trust
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Beth Debouvre, Christopher Gammon, Kim Kopacka, Timothy Kopacka, IMS Securities.
Respondent Lawyers(s): Beth Ann Debouvre, Jackie Wadsworth, Joseph Suarez, Kim Kahala Kopacka, Timothy James Kopacka
Arbitrator(s): Robert H. Putnam, Harvey R. Linder, Harry G. Mason
Hearing Site: Columbia, SC
| | $0 |
| 15-02216 | 03/20/2017 | Claimant(s): Robert Thoma
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew E. Gelfand
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | Expungement |
| 15-03291 | 01/04/2017 | Claimant(s): Jay McCay
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Greg Curley
Arbitrator(s): Diane Ciccone, Edward Blumstein, William J. Hirsch
Hearing Site: Philadelphia, PA
| | Expungement |
| 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 |
| 14-01908 | 04/08/2015 | Claimant(s): Christine DiJullia, Daniel Alampi
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Richard N. Kelmans, Mark E. Hollern, Joseph H. Danziger
Hearing Site: Philadelphia, PA
| | Expungement |
