| 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
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| 12-01070 | 11/26/2013 | Claimant(s): Gregory Vallee
Claimant Lawyers(s): Jesse S. Angeley
Respondent(s): CCO Investment Services Corp.
Respondent Lawyers(s): Christine R. Fitzgerald
Arbitrator(s): Ronald L. Cheney, Mary C. Kelleher, Edward Joseph Boudreau
Hearing Site: Manchester, NH
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| 13-00739 | 11/14/2013 | Claimant(s): Michael Frawley
Claimant Lawyers(s): Michael B. Cosentino
Respondent(s): CCO Investment Services Corp.
Respondent Lawyers(s): David M. Belcher
Arbitrator(s): James R. Collins
Hearing Site: Boston, MA
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| 12-02827 | 10/28/2013 | Claimant(s): CCO Investment Services Corp., RBS Citizens, N.A.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Stacie Weber, Steven Tetens, Janney Montgomery Scott LLC
Respondent Lawyers(s): Christopher Stief, David K. Silverberg
Arbitrator(s): Stuart M. Schwartz, Sheldon Dinowitz, Steven C. Kempisty
Hearing Site: Albany, NY
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| 13-00844 | 10/04/2013 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Jeffrey Wesson
Respondent Lawyers(s): Jeffrey Wesson
Arbitrator(s): Shari B. Broder
Hearing Site: Manchester, NH
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| 13-01002 | 06/03/2013 | Claimant(s): CCO Investment Services Corp., RBS Citizens, N.A.
Claimant Lawyers(s): David Belcher
Respondent(s): Fifth Third Securities., Nathan Bartow
Respondent Lawyers(s): Edmond J. Mack, Marion H. Little
Arbitrator(s): Jason C. Blackford, Mitchell B. Goldberg, James E. Zimmerman
Hearing Site: Cleveland, OH
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| 12-01804 | 05/21/2013 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Joseph Bardzilowski
Respondent Lawyers(s): Joseph George Bardzilowski
Arbitrator(s): Walter R. Milbourne
Hearing Site: Philadelphia, PA
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| 12-02344 | 01/17/2013 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Raymond Spinelli
Respondent Lawyers(s): Raymond Thomas Spinelli
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Philadelphia, PA
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| 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 |
| 11-00457 | 01/25/2012 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Charles Kopp, III
Respondent Lawyers(s): Charles W. Kopp
Arbitrator(s): Shari B. Broder
Hearing Site: Hartford, CT
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