| 13-00910 | 08/19/2014 | Claimant(s): Claudia Goetz, Ralph Goetz
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Erin Botsford, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Brian A. Carlis, David C. Franceski
Arbitrator(s): Barth Satuloff, Richard W. Epstein, Joseph Benalt
Hearing Site: Boca Raton, FL
|  | Expungement |
| 13-01307 | 02/20/2014 | Claimant(s): Richard Hakanson
Claimant Lawyers(s): Erwin Cohn
Respondent(s): PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Stephen C. Esposito
Hearing Site: Chicago, IL
| | $0 |
| 12-01840 | 10/24/2013 | Claimant(s): Rose Mary Schemel
Claimant Lawyers(s): Julia K. Munley
Respondent(s): Nicholas Polito, PNC Bank, N.A., PNC Investments
Respondent Lawyers(s): Brian A. Carlis, Nicholas John Polito
Arbitrator(s): Rochelle K. Kaplan, Donald S. Bauman, Arthur Peter Bedrosian
Hearing Site: Philadelphia, PA
| | $0 |
| 11-03923 | 05/24/2013 | Claimant(s): Obsidian Financial Group, Llc
Claimant Lawyers(s): Martin P. Unger
Respondent(s): Keith Steidle
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Yvonne F. Rocco, S. Charles Tabak, Jay Alan Kranis
Hearing Site: Newark, NJ
| | |
| 11-02062 | 05/20/2013 | Claimant(s): Presbytery of New York City.
Claimant Lawyers(s): Steven N. Fuller
Respondent(s): Charles Helme, Matrix Capital Group., Pinnacle Associates Ltd
Respondent Lawyers(s): Brian A. Carlis, Howard B. Sirota
Arbitrator(s): Robert J. Kheel, Dennis M. Pape, Annamaria Boccia Smith
Hearing Site: New York, NY
| | $0 |
| 09-04874 | 11/15/2012 | Claimant(s): Henry Tutek
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Malcolm J. Irving, Michael E. Scullin, Harold Yaskin
Hearing Site: Philadelphia, PA
| | $0 |
| 11-04814 | 08/23/2012 | Claimant(s): Keith Steidle
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): Bernard M. Levine, Michael A. Ruderman, Philip Boyd Wisener
Hearing Site: Newark, NJ
| | |
| 11-00605 | 07/03/2012 | Claimant(s): Alexander Schernecke
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Wells Fargo Advisors, Jamie Baraldi, UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano, Brian A. Carlis, Edward W. Larkin
Arbitrator(s): Sheldon Seligsohn, Jerry Schuchman, Frank P. Santangelo
Hearing Site: Philadelphia, PA
| | Expungement |
| 10-05380 | 06/28/2012 | Claimant(s): Deborah Charles
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): B. David Jarashow, Gerald Joseph Coughlin, Robert E. Anderson
Hearing Site: Newark, NJ
| | Expungement |
| 10-05117 | 02/23/2012 | Claimant(s): Kay Dunn, Joseph Charles MacCabe III
Claimant Lawyers(s): Joseph C. MacCabe, Kay M. Dunn
Respondent(s): Byron Preuss, Russell Childs, Cambridge Legacy Securities LLC, IMS Securities.
Respondent Lawyers(s): Brian A. Carlis, J. Randle Henderson
Arbitrator(s): Sherry R. Wetsch, William R. Jonson, Mary Esther Escobedo
Hearing Site: Houston, TX
| | $30,000 |
