| 19-01970 | 06/04/2020 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Charles Rattley
Respondent Lawyers(s): Charles Kenneth Rattley
Arbitrator(s): Diane Ciccone, Thomas J. Dolina, Margaret Ann Dubil
Hearing Site: Baltimore, MD
|  | $207,918 |
| 18-03863 | 12/06/2019 | Claimant(s): David Maturi
Claimant Lawyers(s): Jorge M. Altamirano
Respondent(s): L.O. Thomas & Co. Inc.
Respondent Lawyers(s): Marc S. Gottlieb
Arbitrator(s): Diane Ciccone, Carol H. Gold, Mark H. Stein
Hearing Site: Philadelphia, PA
| | $0 |
| 19-00178 | 11/05/2019 | Claimant(s): Margaret Mary Felix
Claimant Lawyers(s): Ian A Taylor
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Diane Ciccone, Gregory J. Spadea, Carrie L. Chelko
Hearing Site: Philadelphia, PA
| | $0 |
| 18-04409 | 08/19/2019 | Claimant(s): Theodore Durante
Claimant Lawyers(s): Dochtor Kennedy MBA, J.D.
Respondent(s): The Prudential Insurance Company Of Amer
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
| | |
| 18-04002 | 06/28/2019 | Claimant(s): Estate of Loraine Neitzel
Claimant Lawyers(s): David M. White
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
| | $0 |
| 18-00939 | 01/16/2019 | Claimant(s): Janet Redman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Diane Ciccone
Hearing Site: Wilmington, DE
| | |
| 18-00658 | 12/12/2018 | Claimant(s): William Walters
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplan
Arbitrator(s): Diane Ciccone
Hearing Site: Wilmington, DE
| | |
| 17-03061 | 10/24/2018 | Claimant(s): Allen Rosenberg
Claimant Lawyers(s): Owen Harnett
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
| | |
| 17-02872 | 06/13/2018 | Claimant(s): Allen Rosenberg
Claimant Lawyers(s): Owen Harnett
Respondent(s): American Eagle Investments.
Respondent Lawyers(s): Allen R. Rosenberg
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
| | |
| 16-00123 | 03/27/2018 | Claimant(s): Gary Helbling
Claimant Lawyers(s): Richard Slavin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Jeffrey A. Fritz
Arbitrator(s): Diane Ciccone, Paul Smith Besson, Richard Hallett Nichol
Hearing Site: Hartford, CT
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