| 19-02669 | 08/19/2021 | Claimant(s): Edward Taylor
Claimant Lawyers(s): Jay W. Waldman
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): N. Nancy Ghabai
Arbitrator(s): Diane Ciccone, John T. Hausladen, Joseph J. Dougherty
Hearing Site: Philadelphia, PA
| | |
| 18-01448 | 08/11/2021 | Claimant(s): Patrick Mullen
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): Key Investment Services LLC
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Elliot B. Platt, Diane Ciccone, Christopher Robert Madel
Hearing Site: Philadelphia, PA
| | |
| 19-02561 | 07/22/2021 | Claimant(s): Morgan Stanley, MSSB Financing LLC
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Neal Rutman
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): Edward Turner Borer, Joseph J. Dougherty, Mark H. Stein
Hearing Site: Philadelphia, PA
| | |
| 19-00822 | 07/12/2021 | Claimant(s): James Collins
Claimant Lawyers(s): Adam M. Green
Respondent(s): Stephen DeCesare, Triad Advisors LLC
Respondent Lawyers(s): Brian A. Carlis, James A. McGovern
Arbitrator(s): Julie K. Chapin, Mary S. Wyatte, Anne O'Connell Umbrecht
Hearing Site: Philadelphia, PA
|  | Expungement |
| 20-02733 | 05/13/2021 | Claimant(s): Thomas Reich
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
| | |
| 20-02888 | 05/13/2021 | Claimant(s): Gerald Corrigan
Claimant Lawyers(s): Gerald A. Corrigan
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffrey D. Rodgers
Arbitrator(s): John James McGovern
Hearing Site: Philadelphia, PA
| | $125 |
| 20-02711 | 05/06/2021 | Claimant(s): Joel Goodhart
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Parkland Securities
Respondent Lawyers(s): Felesha Valdez-Parenti
Arbitrator(s): Thomas Benjamin Salzer
Hearing Site: Philadelphia, PA
| | |
| 20-01045 | 05/05/2021 | Claimant(s): George Eggers
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Colonial Securities
Respondent Lawyers(s): Richard Campanella
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
| | |
| 20-02915 | 04/20/2021 | Claimant(s): HAROLD BESHAW
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): M&T Securities.
Respondent Lawyers(s): Elizabeth R. Bailey
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | |
| 20-01044 | 04/16/2021 | Claimant(s): George Eggers
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Legg Mason Wood Walker
Respondent Lawyers(s): Rosemary Francavilla
Arbitrator(s): Thomas Benjamin Salzer
Hearing Site: Philadelphia, PA
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