| 14-03169 | 06/08/2016 | Claimant(s): Brianna M. Leddy, Brooke Y. McWilliams, Connor McWilliams, Michael Leddy, Morgan E. McWilliams, Ryan Leddy, Shane W. McWilliams, IRA FBO Karen L. McWilliams, Karen L. and Kirk A. McWilliams
Claimant Lawyers(s): Vicki Kuftic Horne
Respondent(s): Patricia Miller, Janney Montgomery Scott LLC
Respondent Lawyers(s): David L. Ward, Patricia S. Miller
Arbitrator(s): Kathleen P. Helbig-Hannan, Christopher Lepore, Mary Kathleen Coleman
Hearing Site: Pittsburgh, PA
|  | $320,490 |
| 14-02396 | 02/18/2016 | Claimant(s): Jonathan Freeze
Claimant Lawyers(s): Alan H. Perer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): James J. Puhala, John P. Abriola, Mark Alexander Sipper
Hearing Site: Pittsburgh, PA
| | |
| 13-02154 | 02/16/2016 | Claimant(s): Ani Baumgarner, James Baumgarner
Claimant Lawyers(s): James D. Baumgarner
Respondent(s): Howard Kay, FSC Securities Corporation
Respondent Lawyers(s): Craig Vollono, Howard Kay
Arbitrator(s): Frank C. Fogl, Rosemary Christina Crawford, Stuart C. Gaul
Hearing Site: Pittsburgh, PA
| | $60,250 |
| 15-00958 | 02/02/2016 | Claimant(s): Richard Desman
Claimant Lawyers(s): Carolyn L. Dorazio
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Ronald W. Sannicandro
Arbitrator(s): Gregory P. Szuter
Hearing Site: Pittsburgh, PA
| | |
| 14-01455 | 12/02/2015 | Claimant(s): William Suhoski
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Salvatore Gioe
Respondent Lawyers(s): Salvatore Gioe
Arbitrator(s): James J. Puhala
Hearing Site: Pittsburgh, PA
| | $9,107 |
| 15-01340 | 11/10/2015 | Claimant(s): Michael R. Johns
Claimant Lawyers(s): Michael R. Johns
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Nery Morales
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Pittsburgh, PA
| | $88 |
| 15-00715 | 07/31/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): W. Sean Kelleher
Hearing Site: Pittsburgh, PA
| | |
| 14-03322 | 06/01/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Monica M. Littman
Respondent(s): Phillip Conley
Respondent Lawyers(s): Phillip Wayne Conley
Arbitrator(s): G. Daniel Carney
Hearing Site: Pittsburgh, PA
| | |
| 14-02319 | 04/30/2015 | Claimant(s): James Kinemond
Claimant Lawyers(s): James D. Kinemond
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Edward A. Grupp
Hearing Site: Pittsburgh, PA
| | $0 |
| 14-00380 | 04/28/2015 | Claimant(s): A. Paul, Geneva BCCX XIV, Lionsgate TIC 29, SHS Houston 28
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Richard W. Dissen, Timothy Shay Davis, Rosemary Christina Crawford
Hearing Site: Pittsburgh, PA
| | Expungement |
