| 19-00994 | 10/27/2021 | Claimant(s): Francesco Umbriaco
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Allen Wagner, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Jim Geiger, Thomas R Nathan, Jason L Pearlman
Hearing Site: Philadelphia, PA
|  | Expungement |
| 21-01007 | 10/19/2021 | Claimant(s): Edward Rupertus
Claimant Lawyers(s): Robert Kerrigan
Respondent(s): Christ Baltas
Respondent Lawyers(s): Christ Elias Baltas
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
| | $14,420 |
| 19-00408 | 10/15/2021 | Claimant(s): Mary Gilotti, Vincent Gilotti
Claimant Lawyers(s): David Sturgeon-Garcia
Respondent(s): Mutual Securities., Aaron Jasper, Julie Cohen, Mitchell Voss, Nicholas Damiani, Ryan Sabol
Respondent Lawyers(s): Jason T. Dennett
Arbitrator(s): Margaret Leggett Tarver, M. Melvin Shralow, Sheila Mercedes Griffith
Hearing Site: Philadelphia, PA
| | $716,250 |
| 21-01492 | 10/14/2021 | Claimant(s): Matthew Plevelich
Claimant Lawyers(s): Matthew Plevelich
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): John James McGovern
Hearing Site: Philadelphia, PA
| | $0 |
| 18-01020 | 10/06/2021 | Claimant(s): Nancy Tucker
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Steven T. Stern, Gordon M. Wase, Kerrie A. Campbell-Garrett
Hearing Site: Philadelphia, PA
| | $104,900 |
| 19-01727 | 09/17/2021 | Claimant(s): Luis Cota
Claimant Lawyers(s): Christopher A. Macey
Respondent(s): Susquehanna International Group, LLP
Respondent Lawyers(s): Erin K. Clarke
Arbitrator(s): M. Melvin Shralow, Andrew S. Walsh, Elizabeth Ann Morgan
Hearing Site: Philadelphia, PA
| | |
| 21-00356 | 09/15/2021 | Claimant(s): Thomas Seiler
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A Pizzitola
Arbitrator(s): John J. Jordan, Thomas Naylor, Kathleen Jones Spilker
Hearing Site: Philadelphia, PA
| | |
| 20-01958 | 09/15/2021 | Claimant(s): Ernest Guenin, Monique Guenin
Claimant Lawyers(s): Peter M. Good
Respondent(s): Joseph Trifiletti, Stephen Distante, Stephen Trask, Steven Howe, Thomas Murphy, Vanderbilt Securities
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Diane Ciccone, Gregory J. Spadea, Peter George Erdely
Hearing Site: Philadelphia, PA
| | $200,000 |
| 16-03008 | 08/31/2021 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp
Claimant Lawyers(s): Laura A. Perez
Respondent(s): William Quinn
Respondent Lawyers(s): William F. Quinn
Arbitrator(s): Kathleen K. Murphy, Gregory Hunter Mathews, Robert C. Scanlan
Hearing Site: Philadelphia, PA
| | |
| 20-02671 | 08/25/2021 | Claimant(s): Patrick Foley
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Jill B. Clarke
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
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