| 20-03674 | 09/22/2022 | Claimant(s): Richard Dawalt
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Joseph Stone Capital L.L.C.
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Rafael A. Porrata-Doria, Fred W. Miller, Stephen J. Scherf
Hearing Site: Philadelphia, PA
|  | $75,000 |
| 19-03261 | 05/14/2020 | Claimant(s): Gary Plessl, Kevin Houser
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon Kaplan
Arbitrator(s): John J. Jordan, Dale A. Pope, Stephen J. Scherf
Hearing Site: Philadelphia, PA
| | |
| 17-01018 | 06/15/2018 | Claimant(s): Judith Craig
Claimant Lawyers(s): Theodor Swansen
Respondent(s): David McDonald, J.J.B. Hilliard, W.L. Lyons, Mark Kregor
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): John J. Jordan, Steven T. Stern, Stephen J. Scherf
Hearing Site: Philadelphia, PA
| | Expungement |
| 14-01407 | 02/01/2016 | Claimant(s): Paula Hian
Claimant Lawyers(s): David P. Heim
Respondent(s): Wells Fargo Advisors, Manuel Aponte
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Alan J. Blocher, Stephen J. Scherf, Laura Marini Davis
Hearing Site: Philadelphia, PA
| | Expungement |
| 08-04657 | 10/02/2009 | Claimant(s): Stanley Gregor
Claimant Lawyers(s): Joseph Sullivan
Respondent(s): Commerce Capital Markets.
Respondent Lawyers(s): Joseph G. Antinori
Arbitrator(s): Benham Fuhrman, John James McGovern, Stephen J. Scherf
Hearing Site: Philadelphia, PA
| | |
