| 08-03446 | 08/10/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Michael Desfor
Respondent Lawyers(s): Michael Eric Desfor
Arbitrator(s): Edward T. Borer, Walter J. Schwenk, James T. McLaughlin
Hearing Site: Philadelphia, PA
| | |
| 08-02780 | 04/29/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Cliff G. Anderson
Respondent(s): William Dahm
Respondent Lawyers(s): William C. Dahm
Arbitrator(s): Edward T. Borer, Peter D. Shelp, Kenneth Joseph Beahan
Hearing Site: Philadelphia, PA
| | |
| 07-02449 | 09/22/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Richard Smithson
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Edward T. Borer, Stephen T. Mayhew, Jack H. McNairy
Hearing Site: Philadelphia, PA
| | |
| 06-01622 | 03/17/2008 | Claimant(s): William Jordan
Claimant Lawyers(s): Mary Kay Brown
Respondent(s): Gregory Serras, Vanguard Capital
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Edward T. Borer, Robert I. Rabinowitz, Antonio Albano
Hearing Site: Philadelphia, PA
| | |
| 05-02755 | 01/23/2008 | Claimant(s): Eden Ginn UGMA/PA, Michael Ginn, IRA, Alison and Michael Ginn, Michael Ginn DDS PC Pension Plan, Michael Ginn Profit Sharing Plan
Claimant Lawyers(s): Sidney L. Gold
Respondent(s): Morgan Stanley DW Inc., Marque Cohen, Dean Witter Reynolds Inc., Morgan Stanley Dean Witter & Co
Respondent Lawyers(s): Eric G. Wallis
Arbitrator(s): Edward T. Borer, Robert F. Sanville, Richard E. Lerner
Hearing Site: Philadelphia, PA
|  | Stipulated Award and Expungement |
| 07-01964 | 12/19/2007 | Claimant(s): Americo Santella
Claimant Lawyers(s): Samuel E. Cohen
Respondent(s): Sparkle Martin
Respondent Lawyers(s): Lawrence Solomon
Arbitrator(s): Edward T. Borer, Patrick J. O'Neil, Frank P. Santangelo
Hearing Site: Philadelphia, PA
| | Expungement |
