| 23-02764 | 05/08/2024 | Claimant(s): Robert Manning
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Adam Kauff, Trae D. Meyr
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
| | |
| 23-03002 | 05/08/2024 | Claimant(s): Francis Lojewski
Claimant Lawyers(s): James P. Galvin
Respondent(s): Nationwide Securities
Respondent Lawyers(s): Daniela Paez
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
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| 22-00681 | 01/05/2024 | Claimant(s): Joseph Cucinotta
Claimant Lawyers(s): Michael Bessette
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Greg M. Curley
Arbitrator(s): Carol H. Gold, Donald S. Bauman, Laura A. Kaster
Hearing Site: Philadelphia, PA
| | |
| 23-00768 | 12/08/2023 | Claimant(s): Michael Moses
Claimant Lawyers(s): Courtney M. Werning
Respondent(s): Edward Jones
Respondent Lawyers(s): Joe N. Nguyen
Arbitrator(s): Carol H. Gold, Colin Bell, Stacey Frenche
Hearing Site: Philadelphia, PA
|  | Expungement |
| 20-00452 | 12/02/2022 | Claimant(s): Barbara Moger
Claimant Lawyers(s): Christopher J. Albanese
Respondent(s): Christopher Braccia, Stephen Oliver, First Allied Securities.
Respondent Lawyers(s): Garry T. Stevens
Arbitrator(s): Diane Ciccone, Carol H. Gold, Christin Kim
Hearing Site: Philadelphia, PA
| | Expungement |
| 22-00228 | 08/30/2022 | Claimant(s): Timothy Flatley
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Kristina J. Branstetter
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
| | |
| 21-02682 | 06/24/2022 | Claimant(s): Gary Karch
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
| | |
| 21-02457 | 04/26/2022 | Claimant(s): Joslyn Ewart
Claimant Lawyers(s): Samuel E. Cohen
Respondent(s): Lincoln Investment
Respondent Lawyers(s): Jessica Levine
Arbitrator(s): Carol H. Gold, Richard Frank Colello, Louis P. Wagman
Hearing Site: Philadelphia, PA
| | |
| 21-00286 | 02/01/2022 | Claimant(s): Ella Smith
Claimant Lawyers(s): Ella J. Smith
Respondent(s): John Hancock Distributors
Respondent Lawyers(s): Michael Mahoney
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
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| 20-01466 | 01/29/2021 | Claimant(s): Kevin Janus
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
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