| 22-02483 | 11/03/2023 | Claimant(s): Evelyn Foose
Claimant Lawyers(s): Evelyn Foose
Respondent(s): Richard Reames
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Sandra Mendel Furman, Barbara E. Dixon, Ann Marie Hansen
Hearing Site: Columbus, OH
|  | $0 |
| 23-00815 | 09/29/2023 | Claimant(s): Nathan Macdonald
Claimant Lawyers(s): Samuel E. Cohen
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Samuel H. Chorches, Howard N. Gorney, John Francis Markuns
Hearing Site: Augusta, ME
| | |
| 22-00081 | 10/17/2022 | Claimant(s): Karen Binder
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Jim Geiger, Michael J. Henke, Donita M. King
Hearing Site: Richmond, VA
| | Expungement |
| 21-02457 | 04/26/2022 | Claimant(s): Joslyn Ewart
Claimant Lawyers(s): Samuel E. Cohen
Respondent(s): Lincoln Investment
Respondent Lawyers(s): Jessica Levine
Arbitrator(s): Carol H. Gold, Richard Frank Colello, Louis P. Wagman
Hearing Site: Philadelphia, PA
| | |
| 20-03407 | 02/02/2022 | Claimant(s): Joseph McCormick IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): USA Financial Securities Corporation
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Julian F. Santos, Linda J. Baer, Clifford Jacob Pritchard
Hearing Site: Wilmington, DE
| | Expungement |
| 21-00550 | 01/25/2022 | Claimant(s): Betsy Sachs
Claimant Lawyers(s): Betsy Sachs
Respondent(s): James Mckenna, Whitney Boucher
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Paul A. Auerbach, Thomas M. Madden, Mark Andrew Helman
Hearing Site: Providence, RI
| | Dismissed by Rule 12504 |
| 20-01526 | 06/25/2021 | Claimant(s): William Nelms
Claimant Lawyers(s): Lars Soreide
Respondent(s): Brian DiBrino, American Portfolios Financial Srvs.
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): James M. Baumann, Robert R. Salman, Edith M. Novack
Hearing Site: Jersey City, NJ
| | Expungement |
| 19-01432 | 03/23/2020 | Claimant(s): Ann DeQuattro
Claimant Lawyers(s): Stacey P. Nakasian
Respondent(s): Gregory Dudzik, Steven Pitassi, Janney Montgomery Scott LLC
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): James R. Collins, Karen Kupersmith, Nicholas Trott Long
Hearing Site: Providence, RI
| | $125,000 |
| 17-00776 | 11/06/2018 | Claimant(s): Ellen Scherer
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): Martin Leclerc, Barrack Yark Advisors, Coastal Equities., Trade-PMR Inc.
Respondent Lawyers(s): Dana Gloor, Samuel E. Cohen
Arbitrator(s): Gordon M. Wase, Ronald P. Wertheim, Richard M. Rosenbleeth
Hearing Site: Philadelphia, PA
| | Expungement |
| 18-01270 | 09/10/2018 | Claimant(s): Raymond Richard
Claimant Lawyers(s): Alex E. Rogers
Respondent(s): Jean Baun
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | $18,536 |
