| 11-01414 | 01/18/2012 | Claimant(s): Keith Steidle
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Norman L. Tolle
Arbitrator(s): Edward W. Morris, Frank Masi, Paul Allan Massaro
Hearing Site: Newark, NJ
| | |
| 11-01164 | 12/23/2011 | Claimant(s): Michael Weiss
Claimant Lawyers(s): Michael Weiss
Respondent(s): Keith Steidle, Nationwide Planning Associates Inc.
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): B. David Jarashow, Margaret Leggett Tarver, David Marcus
Hearing Site: Newark, NJ
|  | Expungement |
| 11-01303 | 10/17/2011 | Claimant(s): John Williams
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): Deborah Tucker, Kenneth Tucker
Respondent Lawyers(s): Stephen Meyer
Arbitrator(s): Thomas R. Skulina, Alex H. Keller, Harvey Michael Rosenberg
Hearing Site: Charleston, WV
| | Expungement |
| 09-07080 | 10/11/2011 | Claimant(s): Inge Lake Pre School.
Claimant Lawyers(s): Kim Taylor
Respondent(s): PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Anthony P. Connolly, Julian F. Santos, Stephanie M. Miller
Hearing Site: Newark, NJ
| | $12,063 |
| 10-05763 | 07/21/2011 | Claimant(s): John P. Fowlds and Brenda J. Fowlds
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): James Galloway, PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Monica I. Salis
Hearing Site: Boca Raton, FL
| | $0 |
| 10-03327 | 02/14/2011 | Claimant(s): Gina Dipietro
Claimant Lawyers(s): Gina M DIPietro
Respondent(s): PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Philip Levine
Hearing Site: Newark, NJ
| | |
| 10-01357 | 11/15/2010 | Claimant(s): Joseph Griglak IRA
Claimant Lawyers(s): Joseph Griglak
Respondent(s): Joseph Riccelli
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
| | $213 |
| 07-02912 | 06/25/2010 | Claimant(s): Keith Steidle, Michael Astashkevich, Roderick Norman
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): Granite Securities, Obsidian Financial Group
Respondent Lawyers(s): Brian Reis
Arbitrator(s): Walter A. Kapuscinski, David L. Becker, Philip W Gaffney
Hearing Site: Newark, NJ
| | |
| 09-00444 | 03/16/2010 | Claimant(s): Dana Presti, Est of Ralph E. Dilks by Dana Presti Ex
Claimant Lawyers(s): Joseph M. Armstrong
Respondent(s): Ronald Aungst, PNC Investments LLC
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Guillermo L. Bosch, Joseph J. Dougherty, Catherine S. Kopley
Hearing Site: Philadelphia, PA
| | $0 |
| 09-04175 | 12/15/2009 | Claimant(s): Estate of Norma L. Marks
Claimant Lawyers(s): Alan Gilmore
Respondent(s): PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Michael E. Scullin
Hearing Site: Philadelphia, PA
| | $213 |
