| 18-02671 | 06/04/2019 | Claimant(s): James Saltzburg
Claimant Lawyers(s): Jean H. Bickhart
Respondent(s): Citizens Securities.
Respondent Lawyers(s): Geoffrey W. Millsom
Arbitrator(s): Mark H. Stein
Hearing Site: Philadelphia, PA
| | |
| 16-03482 | 04/19/2018 | Claimant(s): Mark Comyns
Claimant Lawyers(s): Eric C. Milby
Respondent(s): David Fitzgerald
Respondent Lawyers(s): Joshua Horn
Arbitrator(s): Thomas Benjamin Salzer, Adam Bronstein, Mark H. Stein
Hearing Site: Philadelphia, PA
| | |
| 16-00430 | 02/14/2017 | Claimant(s): Howard Schreibstein, Wendy Schreibstein
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Ellen Sheridan- Cona
Arbitrator(s): Mark H. Stein
Hearing Site: Philadelphia, PA
|  | $23,650 |
| 15-03244 | 12/29/2016 | Claimant(s): Theodore Pendergrass
Claimant Lawyers(s): Krista E. Bolles
Respondent(s): Wells Fargo Advisors, David Lucy
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Mark H. Stein, Sanford L. Wilk, Roger C. Bird
Hearing Site: Philadelphia, PA
| | |
| 14-03775 | 12/18/2015 | Claimant(s): William Freas
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Rockwell Global Capital LLC
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Elliot B. Platt, Mark H. Stein, Joseph H. Danziger
Hearing Site: Philadelphia, PA
| | $35,000 |
| 14-01499 | 07/24/2015 | Claimant(s): Donna Meli
Claimant Lawyers(s): Michael Hill
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Mark H. Stein
Hearing Site: Philadelphia, PA
| | Expungement |
| 10-05445 | 08/21/2014 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph F. Keenan
Respondent(s): Gregory Dotter
Respondent Lawyers(s): Gregory Dotter
Arbitrator(s): Edward T. Borer, Jim Geiger, Bernard Herman, Glenn J. Hansen, Roger Frazier Cox, Mark H. Stein
Hearing Site: Philadelphia, PA
| | |
| 11-02680 | 10/18/2012 | Claimant(s): Saundra Genoni
Claimant Lawyers(s): John E. MacDonald
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Thomas Durkin
Respondent Lawyers(s): Amy M. Fritsky
Arbitrator(s): Mark H. Stein, Patrick R. Westerkamp, Esq., Timothy James Potero
Hearing Site: Philadelphia, PA
| | |
| 10-01020 | 05/10/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Robert Durham, William Cashman
Respondent Lawyers(s): Jacqueline Jackson-DeGarcia, Jason G. Benion
Arbitrator(s): Paul J. Greco, James T. McLaughlin, Mark H. Stein
Hearing Site: Philadelphia, PA
| | |
