| 11-02495 | 11/18/2013 | Claimant(s): Alexander Simanovsky
Claimant Lawyers(s): Christopher C. Coss
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Diane Ciccone, Sheldon Seligsohn, Jonathan A. Siegel
Hearing Site: Philadelphia, PA
| | |
| 10-04699 | 06/20/2012 | Claimant(s): Frank Umbriac
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): CCO Investment Services Corp.
Respondent Lawyers(s): Nipun J. Patel
Arbitrator(s): Diane Ciccone, Robert W. Ratti, David B. Harwi
Hearing Site: Philadelphia, PA
|  | $50,000 |
| 11-02406 | 01/30/2012 | Claimant(s): Kathleen Appleton
Claimant Lawyers(s): Kathleen M. Appleton
Respondent(s): Joseph Voelker, Marc Dobb
Respondent Lawyers(s): Carrie Bechtold
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
| | $38 |
| 11-00712 | 01/20/2012 | Claimant(s): William Sudyka, William E. Sudyka, Rollover IRA, Roth IRA
Claimant Lawyers(s): Mark C. Lauria
Respondent(s): Glenn King, Thomas Santucci
Respondent Lawyers(s): Glenn Robert King, Thomas John Santucci
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
| | Expungement |
| 08-00554 | 02/04/2010 | Claimant(s): William H. Agnew and Bernadien R. Agnew
Claimant Lawyers(s): William H. Agnew
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Diane Ciccone, David M. Panko, Paul J. Greco
Hearing Site: Philadelphia, PA
| | $0 |
| 06-04797 | 11/19/2007 | Claimant(s): Thomas Quigley
Claimant Lawyers(s): Oren Giskan
Respondent(s): BNY Brokerage LLC
Respondent Lawyers(s): Robert Piliero
Arbitrator(s): Eugene M. Kaufman, Diane Ciccone, Daniel P. Lund
Hearing Site: New York, NY
| | |
| 06-00972 | 10/15/2007 | Claimant(s): The Gorak Foundation Trust
Claimant Lawyers(s): Daniel L. Carroll
Respondent(s): Dean Friedman
Respondent Lawyers(s): Brett Sherman
Arbitrator(s): Diane Ciccone, Linda S. Cole, Walter M. Schackman
Hearing Site: New York, NY
| | $22,342 |
