23-03514 | 09/05/2024 | Claimant(s): Erik Snyder, Richard Hargis Claimant Lawyers(s): Joel M. Everest Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Noah D. Sorkin Arbitrator(s): Diane Ciccone, Carol H. Gold, Joseph J. Dougherty Hearing Site: Philadelphia, PA
| | |
23-01381 | 03/12/2024 | Claimant(s): Bradley Kleinfelter Claimant Lawyers(s): Dochtor Kennedy Respondent(s): TD Ameritrade. Respondent Lawyers(s): Garrett R. Wynne Arbitrator(s): Diane Ciccone Hearing Site: Philadelphia, PA
| | |
23-01301 | 02/08/2024 | Claimant(s): George Kastanis Claimant Lawyers(s): Everett Pritchard Respondent(s): Cetera Advisors LLC Respondent Lawyers(s): David Feldstein Arbitrator(s): Diane Ciccone Hearing Site: Philadelphia, PA
| | |
21-01271 | 01/26/2024 | Claimant(s): Katharine Constable Claimant Lawyers(s): Andrew D. O'Toole Respondent(s): Frank Epinger, J.P. Morgan Securities, Jacqueline Rahn, Jonathan Galan, Trevor Rahn Respondent Lawyers(s): David Harrison, Dexter B. Johnson, Eugene L. Small, Michael M. Wilson Arbitrator(s): Diane Ciccone, Steven R. Rolnick, David Adams Reif Hearing Site: Hartford, CT
| | Expungement |
23-01529 | 10/09/2023 | Claimant(s): Debora Scholl Claimant Lawyers(s): Debora Scholl Respondent(s): Alexis Cain, Lincoln Investment Respondent Lawyers(s): Matthew Sherlock, Sean L. Corgan Arbitrator(s): Diane Ciccone Hearing Site: Philadelphia, PA
| | $0 |
20-03646 | 04/07/2023 | Claimant(s): John Kruk, Kruk Joint Revocable Trust UAD 1-30-17 Claimant Lawyers(s): Richard S. Frankowski Respondent(s): Brian Megley, Cetera Advisors LLC Respondent Lawyers(s): Michael Schwartzberg Arbitrator(s): Jim Geiger, Diane Ciccone, Jeremy M. Bloomenthal Hearing Site: Providence, RI
| | 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 |
19-03331 | 08/16/2022 | Claimant(s): Josh Oliver Claimant Lawyers(s): David Dobin Respondent(s): Key Investment Services LLC Respondent Lawyers(s): Jeffrey S. Dunlap Arbitrator(s): Diane Ciccone, Marissa A. Santangelo, Paul Smith Besson Hearing Site: Hartford, CT
| | |
21-00876 | 06/09/2022 | Claimant(s): Renee Danho, MRM Realty, Denis E. Vachon Trust, Georgette A. Vachon Trust Claimant Lawyers(s): Stacey P. Nakasian Respondent(s): Charles White, II, Wilson Saville, Barrett & Company Respondent Lawyers(s): Peter F. Flynn Arbitrator(s): Diane Ciccone, Vincent Vina, Gabrielle Labonte Hearing Site: Providence, RI
| | $341,300 |
21-00513 | 05/26/2022 | Claimant(s): William Nies Claimant Lawyers(s): Adam J. Weinstein Respondent(s): Geneos Wealth Management Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): Diane Ciccone, Doris J. Dabrowski, Mary S. Wyatte Hearing Site: Philadelphia, PA
| | Expungement |