| 17-00763 | 12/04/2017 | Claimant(s): Kyle Almond, Lynn Almond
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Edward Jones
Respondent Lawyers(s): Anitra T. Cassas
Arbitrator(s): Rochelle K. Kaplan, Tina E. Patterson, Carl F. Bowmer
Hearing Site: Richmond, VA
|  | Dismissed by Rule 12206 |
| 16-01441 | 03/08/2017 | Claimant(s): Rhonda Grallnick
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin Lewis
Arbitrator(s): Rochelle K. Kaplan, Laura A. Kaster, Gerald S. Smith
Hearing Site: Philadelphia, PA
| | Dismissed by Rule 12206 |
| 14-02637 | 08/04/2016 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Thomas McDevitt
Respondent Lawyers(s): Thomas McDevitt
Arbitrator(s): Steven T. Stern, Alan M. Schankel, Rochelle K. Kaplan
Hearing Site: Philadelphia, PA
| | |
| 15-00440 | 06/21/2016 | Claimant(s): James McDevitt
Claimant Lawyers(s): James B. McDevitt
Respondent(s): PNC Investments
Respondent Lawyers(s): Gary J. Lieberman
Arbitrator(s): Rochelle K. Kaplan, Timothy Mark Jayne, John B. Taulane
Hearing Site: Philadelphia, PA
| | |
| 13-02694 | 01/21/2015 | Claimant(s): Estate of Lydia Grabania
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Ali Sabetghadam
Arbitrator(s): Rochelle K. Kaplan, Julie K. Chapin, Edward Vincent Zenzola
Hearing Site: Philadelphia, PA
| | Expungement |
| 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 |
| 11-00219 | 02/20/2013 | Claimant(s): Michael Gallagher and Mary Gallagher
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tom Briody
Arbitrator(s): Carol H. Gold, Edward F. Koren, Rochelle K. Kaplan
Hearing Site: Philadelphia, PA
| | Expungement |
| 08-03635 | 06/07/2011 | Claimant(s): Loren Hulber
Claimant Lawyers(s): Joel D. Feldman
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): E. William Pastor, Peter D. Shelp, Rochelle K. Kaplan
Hearing Site: Philadelphia, PA
| | $0 |
| 09-07145 | 04/14/2011 | Claimant(s): Michael Duddy, Nuala Duddy, Michael J. Duddy and Nuala C. Duddy
Claimant Lawyers(s): Glenn S. Gitomer
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Joseph A. Vallo
Arbitrator(s): Richard N. Kelmans, Rochelle K. Kaplan, Kenneth Joseph Beahan
Hearing Site: Philadelphia, PA
| | $100,000 |
