22-00712 | 02/15/2023 | Claimant(s): Stephen Peiffer Claimant Lawyers(s): Jon-Jorge Aras Respondent(s): Voya Financial Advisors. Respondent Lawyers(s): Denis Dice Arbitrator(s): Jim Geiger, Lisette Lazinger Tarragano, George Aleman Hearing Site: Philadelphia, PA
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22-01249 | 12/20/2022 | Claimant(s): Stanley Cooper Claimant Lawyers(s): Denis Dice Respondent(s): Cetera Advisor Networks LLC Respondent Lawyers(s): David G. Smitham Arbitrator(s): Jim Geiger, Alan J. Blocher, Thomas R Nathan Hearing Site: Philadelphia, PA
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22-00631 | 09/30/2022 | Claimant(s): Kevin Nolan Claimant Lawyers(s): Denis Dice Respondent(s): Db Alex. Brown LLC Respondent Lawyers(s): Deutsche Banc Alex Brown Inc. Arbitrator(s): Richard E. Lauziere, Patricia M. Maher, Jay B. Bachar Hearing Site: Baltimore, MD
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19-03575 | 04/04/2022 | Claimant(s): Kimberly Hartman Claimant Lawyers(s): Brittany Weiner Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Denis Dice Arbitrator(s): Ellen F. Kandell, James Ray Eyler, Michele Francene Dandrea Hearing Site: Baltimore, MD
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19-01202 | 02/10/2022 | Claimant(s): Patricia Mezzancello, DCB321 Claimant Lawyers(s): Jon A. Jacobson Respondent(s): David McCorison Respondent Lawyers(s): Denis Dice Arbitrator(s): Herbert Branitsky, Alessandra Piras Torrens, Peter Frank Ferola Hearing Site: Boca Raton, FL
| | $0 |
17-01069 | 06/07/2019 | Claimant(s): Ira Adelman, Robin Adelman Claimant Lawyers(s): Ernest Sasso Respondent(s): Stephen Walker Respondent Lawyers(s): Denis Dice Arbitrator(s): John J. Jordan, Doris J. Dabrowski, Mary S. Wyatte Hearing Site: Philadelphia, PA
| | $0 |
18-01846 | 02/07/2019 | Claimant(s): Anna Bjornson, Steven Bjornson Claimant Lawyers(s): Anna Bjornson, Steven Bjornson Respondent(s): Gary Gallagher, Voya Financial Advisors. Respondent Lawyers(s): Denis Dice Arbitrator(s): Joyce A. Mitchell Hearing Site: Washington, DC
| | Expungement |
16-03694 | 07/09/2018 | Claimant(s): Joan Cassidy, Robert Cassidy Claimant Lawyers(s): Nicholas J Guiliano Respondent(s): The Investment Center. Respondent Lawyers(s): Denis Dice Arbitrator(s): Guillermo L. Bosch, Mark E. Hollern, Allen M. Kerpan Hearing Site: Philadelphia, PA
| | Expungement |