| 21-00361 | 12/17/2021 | Claimant(s): Thomas Seiler
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): John J. Jordan, Donald S. Bauman, Kattina V. Barsik
Hearing Site: Philadelphia, PA
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| 21-00356 | 09/15/2021 | Claimant(s): Thomas Seiler
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A Pizzitola
Arbitrator(s): John J. Jordan, Thomas Naylor, Kathleen Jones Spilker
Hearing Site: Philadelphia, PA
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| 20-00807 | 03/16/2021 | Claimant(s): Edward Caruth
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): John J. Jordan
Hearing Site: Philadelphia, PA
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| 20-02080 | 01/06/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Scott Kaufman
Respondent Lawyers(s): Michael R. McFarlin
Arbitrator(s): John J. Jordan, Robert C. Scanlan, Mark H. Stein
Hearing Site: Philadelphia, PA
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| 20-01688 | 11/02/2020 | Claimant(s): Brian Pugh, Omar Rasheed
Claimant Lawyers(s): Alexander Madrid
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Nicholas J. Hendrix
Arbitrator(s): John J. Jordan, Allen M. Kerpan, Michael Allen Zeiler
Hearing Site: Philadelphia, PA
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| 19-00395 | 10/21/2020 | Claimant(s): Brian Kennedy, Vincent Catalano
Claimant Lawyers(s): David J. Freniere
Respondent(s): John Dimonda, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): John J. Jordan, Louis P. Wagman, Stephen Samuel Werner
Hearing Site: Philadelphia, PA
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| 20-00392 | 06/09/2020 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Deependra Logani
Respondent Lawyers(s): Deegendra Kumar Logani
Arbitrator(s): John J. Jordan
Hearing Site: Philadelphia, PA
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| 19-03261 | 05/14/2020 | Claimant(s): Gary Plessl, Kevin Houser
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon Kaplan
Arbitrator(s): John J. Jordan, Dale A. Pope, Stephen J. Scherf
Hearing Site: Philadelphia, PA
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| 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
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| 18-00588 | 06/20/2018 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): James Kelly
Respondent Lawyers(s): James Joseph Kelly
Arbitrator(s): John J. Jordan
Hearing Site: Philadelphia, PA
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