| 24-00207 | 05/08/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Sara Soto
Respondent(s): Robert Boyer
Respondent Lawyers(s): Robert Anthony Boyer
Arbitrator(s): Mark H. Stein
Hearing Site: Philadelphia, PA
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| 21-02258 | 09/19/2023 | Claimant(s): Blake Epstein, Stanley Kiec
Claimant Lawyers(s): Alan Rosca
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Megan VerGow
Arbitrator(s): Mark H. Stein, Thomas E Kopil, James Christie
Hearing Site: Philadelphia, PA
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| 21-02579 | 04/19/2022 | Claimant(s): Elizabeth Bennett
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): PNC Investments
Respondent Lawyers(s): Angelina T. Evans
Arbitrator(s): Mark H. Stein
Hearing Site: Philadelphia, PA
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| 20-00478 | 11/02/2021 | Claimant(s): Christine Kearney
Claimant Lawyers(s): Stuart E. Finer
Respondent(s): LPL Financial LLC, Gregory Kearney
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Mark H. Stein, Douglas A. Eldridge, Ronald F Thompson
Hearing Site: Syracuse, NY
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| 19-02561 | 07/22/2021 | Claimant(s): Morgan Stanley, MSSB Financing LLC
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Neal Rutman
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): Edward Turner Borer, Joseph J. Dougherty, Mark H. Stein
Hearing Site: Philadelphia, PA
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| 20-01699 | 02/12/2021 | Claimant(s): Ameriprise Financial Services
Claimant Lawyers(s): Scott A. La Porta
Respondent(s): Leslie Markus
Respondent Lawyers(s): Leslie George Markus
Arbitrator(s): Edward T. Borer, Mark H. Stein, Larry Cheskawich
Hearing Site: Philadelphia, PA
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| 20-02080 | 01/06/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Scott Kaufman
Respondent Lawyers(s): Michael R. McFarlin
Arbitrator(s): John J. Jordan, Robert C. Scanlan, Mark H. Stein
Hearing Site: Philadelphia, PA
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| 19-02879 | 12/18/2020 | Claimant(s): Tracy Ellis
Claimant Lawyers(s): Samuel Wilson
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Heather Z. Steele
Arbitrator(s): Mary L. Sims, Mark H. Stein, Rachael Luken Carp
Hearing Site: Philadelphia, PA
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| 18-03863 | 12/06/2019 | Claimant(s): David Maturi
Claimant Lawyers(s): Jorge M. Altamirano
Respondent(s): L.O. Thomas & Co. Inc.
Respondent Lawyers(s): Marc S. Gottlieb
Arbitrator(s): Diane Ciccone, Carol H. Gold, Mark H. Stein
Hearing Site: Philadelphia, PA
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| 18-03187 | 11/21/2019 | Claimant(s): Ann Ginsberg, Gene Ginsberg, Gene H. Ginsberg & Ann R. Ginsberg Trust
Claimant Lawyers(s): David A Conti
Respondent(s): Stifel, Nicolaus & Co.., Lawrence Delhagen, Michael O'Keefe
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Mark H. Stein, Patrick R. Westerkamp, Gerard Thompson
Hearing Site: Philadelphia, PA
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