| 20-03652 | 11/09/2022 | Claimant(s): Intellivest Securities.
Claimant Lawyers(s): Daniel H. Kolber
Respondent(s): Gratitude Management LLC, The Builders Fund
Respondent Lawyers(s): John J. Siciliano
Arbitrator(s): David Paul Clark, Julie K. Chapin, Richard Pearce Moultrie
Hearing Site: Wilmington, DE
| | |
| 21-00475 | 06/03/2022 | Claimant(s): Boomerang Capital LLC
Claimant Lawyers(s): William A. Rome
Respondent(s): Rhino Investment Partners Inc, Rhino Small Cap Financial Fund LP
Respondent Lawyers(s): Scott E. Zweigel
Arbitrator(s): Julie K. Chapin, John McGrody, Mark Ignatius Salvacion
Hearing Site: Philadelphia, PA
| | |
| 20-04027 | 04/22/2022 | Claimant(s): Albert Epstein IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): Hornor, Townsend & Kent
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Julie K. Chapin, Laura A. Kaster, Melantha K Paige
Hearing Site: Philadelphia, PA
|  | Expungement |
| 19-00822 | 07/12/2021 | Claimant(s): James Collins
Claimant Lawyers(s): Adam M. Green
Respondent(s): Stephen DeCesare, Triad Advisors LLC
Respondent Lawyers(s): Brian A. Carlis, James A. McGovern
Arbitrator(s): Julie K. Chapin, Mary S. Wyatte, Anne O'Connell Umbrecht
Hearing Site: Philadelphia, PA
| | Expungement |
| 20-03201 | 12/08/2020 | Claimant(s): Bradford Bernstein
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Julie K. Chapin
Hearing Site: Philadelphia, PA
| | |
| 19-01835 | 01/14/2020 | Claimant(s): Richard Wesselt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): SA Stone Wealth Management Inc.
Respondent Lawyers(s): Craig L. Hymowitz
Arbitrator(s): Julie K. Chapin
Hearing Site: Philadelphia, PA
| | |
| 13-02694 | 01/21/2015 | Claimant(s): Estate of Lydia Grabania
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Ali Sabetghadam
Arbitrator(s): Rochelle K. Kaplan, Julie K. Chapin, Edward Vincent Zenzola
Hearing Site: Philadelphia, PA
| | Expungement |
| 10-03635 | 09/30/2011 | Claimant(s): Marcella Wall
Claimant Lawyers(s): Byron L. Milner
Respondent(s): Jonathon Leise, Paul Hagerty, Janney Montgomery Scott LLC
Respondent Lawyers(s): Christine M. Debevec
Arbitrator(s): Guillermo L. Bosch, Julie K. Chapin, Carla Fisher
Hearing Site: Philadelphia, PA
| | $10,000 |
