| 20-03751 | 01/14/2022 | Claimant(s): Elizabeth Baucom, Richard Baucom, Richard Baucom IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Guillermo L. Bosch, Mary L. Sims, Louis P. Wagman
Hearing Site: Philadelphia, PA
|  | Dismissed by Rule 12206 |
| 19-02879 | 12/18/2020 | Claimant(s): Tracy Ellis
Claimant Lawyers(s): Samuel Wilson
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Heather Z. Steele
Arbitrator(s): Mary L. Sims, Mark H. Stein, Rachael Luken Carp
Hearing Site: Philadelphia, PA
| | |
| 18-03956 | 10/09/2019 | Claimant(s): Timothy Caso
Claimant Lawyers(s): Timothy Caso
Respondent(s): Ameriprise Financial Services., Thomas Robbins
Respondent Lawyers(s): Edward A. Walton, Joel Wertman
Arbitrator(s): Peter D. Shelp, Mary L. Sims, Suzanne Levin Wolfson
Hearing Site: Philadelphia, PA
| | |
| 14-00292 | 06/20/2016 | Claimant(s): Estate of Earl L. Everline, Karl J. EverlineTTee of Everline Family
Claimant Lawyers(s): Kelly Everline
Respondent(s): Raymond James Financial Services., Janney Montgomery Scott LLC
Respondent Lawyers(s): Amy E. Sparrow, Robert M. Rudnicki
Arbitrator(s): Elliot B. Platt, Jim Geiger, Mary L. Sims
Hearing Site: Philadelphia, PA
| | $0 |
| 11-03256 | 05/28/2013 | Claimant(s): Mario R. Gebbia as Trustee of the Mario
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Elliot B. Platt, Kathleen L. Daerr-Bannon, Mary L. Sims
Hearing Site: Philadelphia, PA
| | Expungement |
| 08-03608 | 11/25/2009 | Claimant(s): Cheryl Radey, Frank Radey, Patricia Radley
Claimant Lawyers(s): Frank H. Radey
Respondent(s): J. B. Hanauer & Co.
Respondent Lawyers(s): Joseph Keenan
Arbitrator(s): Jim Geiger, Dale A. Pope, Mary L. Sims
Hearing Site: Philadelphia, PA
| | $0 |
