| 16-03008 | 08/31/2021 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp
Claimant Lawyers(s): Laura A. Perez
Respondent(s): William Quinn
Respondent Lawyers(s): William F. Quinn
Arbitrator(s): Kathleen K. Murphy, Gregory Hunter Mathews, Robert C. Scanlan
Hearing Site: Philadelphia, PA
| | |
| 16-00972 | 09/25/2017 | Claimant(s): John Patterson, Stella Patterson, John Patterson and Stella Patterson
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Ladenburg Thalmann & Co. Inc.
Respondent Lawyers(s): Michael D. Handelsman
Arbitrator(s): Gordon M. Wase, Kathleen K. Murphy, John James McGovern
Hearing Site: Philadelphia, PA
|  | $358,200 |
| 16-02190 | 03/29/2017 | Claimant(s): Randy Mims, IRA
Claimant Lawyers(s): Randy Mims
Respondent(s): Gregory Kuhn
Respondent Lawyers(s): Joel Davidson
Arbitrator(s): Rafael A. Porrata-Doria, Kathleen K. Murphy, Leo J. Karwejna
Hearing Site: Philadelphia, PA
| | $0 |
| 12-04104 | 05/20/2014 | Claimant(s): William Ey
Claimant Lawyers(s): Christopher C. Coss
Respondent(s): Brian Allen, RBC Wealth Management
Respondent Lawyers(s): Brian Joseph Allen, Dennis C. Dice
Arbitrator(s): Alan J. Blocher, Kathleen K. Murphy, William J. Hirsch
Hearing Site: Philadelphia, PA
| | Expungement |
| 09-04771 | 03/13/2013 | Claimant(s): Athena Venture Partners, L.P.
Claimant Lawyers(s): David R. Moffitt
Respondent(s): Goldman, Sachs and Company, Eric Gettleman, Scott Sheffer
Respondent Lawyers(s): Edward M. Posner
Arbitrator(s): Edward T. Borer, Kathleen K. Murphy, Demetrio S. Timban
Hearing Site: Philadelphia, PA
| | $0 |
| 10-00408 | 09/28/2011 | Claimant(s): Robert Bryan
Claimant Lawyers(s): Anthony Cillo
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Richard W. Dissen, Kathleen K. Murphy, Albert Joseph Boucek
Hearing Site: Pittsburgh, PA
| | $0 |
| 09-05762 | 08/16/2011 | Claimant(s): Michael Young
Claimant Lawyers(s): Paula D. Shaffner
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Jason Fedo
Arbitrator(s): Kathleen K. Murphy, Edward F. Koren, James T. McLaughlin
Hearing Site: Philadelphia, PA
| | $804,450 |
| 10-00380 | 04/07/2011 | Claimant(s): Christopher Hutchinson
Claimant Lawyers(s): Brian J. Sommer
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward B. Magarian
Arbitrator(s): Paul H. McKenna, Kathleen K. Murphy, James J. Puhala
Hearing Site: Pittsburgh, PA
| | |
| 09-00759 | 01/06/2011 | Claimant(s): Rhonda Waksman
Claimant Lawyers(s): Richard W. Kelly
Respondent(s): CCO Investment Services Corp.
Respondent Lawyers(s): Jayme L. Butcher
Arbitrator(s): Kathleen K. Murphy, Michael D. McDowell, Elena M. Colianni
Hearing Site: Pittsburgh, PA
| | $40,323 |
| 09-05064 | 11/01/2010 | Claimant(s): Diane Reynolds
Claimant Lawyers(s): Richard De Vita
Respondent(s): David Dube, Peak Securities Corporation
Respondent Lawyers(s): David W. Dube, David Dube
Arbitrator(s): Debra G. Speyer, Kathleen K. Murphy, Peter L. Marco
Hearing Site: Philadelphia, PA
| | $450,330 |
