| 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 |
| 16-03180 | 01/12/2018 | Claimant(s): Diane Helbling, Heather Abdullah-Robinson
Claimant Lawyers(s): Diane Helbling
Respondent(s): Brian Hentz, Dennis Kinzer, Morgan Stanley, Jeffrey Graunke, Pershing LLC, National Planning Corporation
Respondent Lawyers(s): Benjamin J. Biard, Christopher M. Sacco, Jane L. Myers
Arbitrator(s): Ronald P. Wertheim, Patrick R. Westerkamp, Leo J. Karwejna
Hearing Site: Philadelphia, PA
| | $0 |
| 15-00688 | 07/19/2016 | Claimant(s): Michael Murphy
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Renos Gordos
Respondent Lawyers(s): Renos Gordos
Arbitrator(s): Ronald P. Wertheim
Hearing Site: Philadelphia, PA
| | $0 |
| 14-03624 | 06/09/2016 | Claimant(s): Deborah Zwizanski, Jon Soler
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Ronald P. Wertheim, Paul J. Leis, Edward Vincent Zenzola
Hearing Site: Philadelphia, PA
| | $0 |
| 14-01591 | 12/15/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Joseph Rizzo
Respondent Lawyers(s): Kevin C. Console
Arbitrator(s): Ronald P. Wertheim
Hearing Site: Philadelphia, PA
| | |
| 12-01031 | 12/04/2013 | Claimant(s): William Turner
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Anthony Lodati, Yousuf Saljooki, Brookville Capital Partners
Respondent Lawyers(s): Brett D. Zinner
Arbitrator(s): Ronald P. Wertheim
Hearing Site: Philadelphia, PA
| | Expungement |
| 12-04217 | 07/11/2013 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Courtney M. Rogers-Reid
Respondent(s): Andrew Woolf
Respondent Lawyers(s): A. Wilson Woolf
Arbitrator(s): Ronald P. Wertheim
Hearing Site: Philadelphia, PA
| | |
| 10-02871 | 07/06/2011 | Claimant(s): Greg Kipple
Claimant Lawyers(s): Todd Gutfleisch
Respondent(s): Wachovia Securities, Wells Fargo Advisors
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Alan J. Blocher, Ronald P. Wertheim, Jason Thomas Laird
Hearing Site: Philadelphia, PA
| | |
| 10-01184 | 03/11/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen Burns
Respondent(s): Justin Silberman
Respondent Lawyers(s): William Ray Ford
Arbitrator(s): Ronald P. Wertheim
Hearing Site: Washington, DC
| | |
