| 13-02470 | 03/26/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Melissa A. Bevilacqua
Respondent(s): Mark Parker
Respondent Lawyers(s): Mark Parker
Arbitrator(s): John J. Jordan
Hearing Site: Philadelphia, PA
| | |
| 12-00137 | 02/21/2014 | Claimant(s): CCO Investment Services Corp., RBS Citizens, N.A.
Claimant Lawyers(s): Christine R. Fitzgerald
Respondent(s): Douglas McDermott
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): John J. Jordan, John T. Hausladen, Kenneth D. Morris
Hearing Site: Philadelphia, PA
| | |
| 13-00828 | 01/30/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Patrick McFadden
Respondent Lawyers(s): Patrick McFadden
Arbitrator(s): John J. Jordan
Hearing Site: Philadelphia, PA
| | |
| 10-04321 | 12/03/2013 | Claimant(s): Frederick Lewis, Lois Lewis
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Joseph A. Vallo
Arbitrator(s): John J. Jordan, Stephen T. Mayhew, Michael P. Marryshow
Hearing Site: Philadelphia, PA
|  | $297,516 |
| 11-00926 | 11/22/2011 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Ronald Aungst
Respondent Lawyers(s): Ronald A Aungst
Arbitrator(s): John J. Jordan
Hearing Site: Philadelphia, PA
| | |
| 10-01584 | 07/14/2011 | Claimant(s): Lenore Weinberg, Harold Weinberg
Claimant Lawyers(s): Marc A. Weinberg
Respondent(s): Bernard Snyder, Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): John J. Jordan, Jack H. McNairy, Demetrio S. Timban
Hearing Site: Philadelphia, PA
| | Expungement |
| 10-01484 | 07/07/2011 | Claimant(s): O. Robert Marino & Linda Marino
Claimant Lawyers(s): Henry I. Pass
Respondent(s): Klaus Miller, Banc of America Securities LLC, Merrill Lynch Pierce Fenner & Smith Inc., The Hoey Group
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Rafael A. Porrata-Doria, John J. Jordan, Howard B. Scherer
Hearing Site: Philadelphia, PA
| | Expungement |
| 09-06136 | 12/07/2010 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): William E. Mahoney
Respondent(s): Craig Rappaport
Respondent Lawyers(s): Craig H. Rappaport
Arbitrator(s): John J. Jordan, Sanford S. Stevens, Carl E. Esser
Hearing Site: Philadelphia, PA
| | |
| 07-02623 | 08/10/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): John E. MacDonald
Respondent(s): John Zannakis
Respondent Lawyers(s): Jeffrey S. Stewart
Arbitrator(s): John J. Jordan, Steven T. Stern, Robert C. Scanlan
Hearing Site: Philadelphia, PA
| | |
| 09-03927 | 05/25/2010 | Claimant(s): Greg Call, Kathy Call, Kelli Tuttle, Susan Visconti
Claimant Lawyers(s): E. McCord Clayton
Respondent(s): Jeffrey Southard
Respondent Lawyers(s): Jeffrey Joseph Southard
Arbitrator(s): John J. Jordan, Mary Ann M. Melchiorre, David B. Harwi
Hearing Site: Philadelphia, PA
| | $527,860 |
