| 20-03201 | 12/08/2020 | Claimant(s): Bradford Bernstein
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Julie K. Chapin
Hearing Site: Philadelphia, PA
| | |
| 19-00567 | 12/03/2020 | Claimant(s): Peter Radle
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Mark Kemp, National Planning Corporation
Respondent Lawyers(s): Kate E. DiGeronimo
Arbitrator(s): Gordon M. Wase, Thomas Warfield Harrity, Douglas Cheston Berlin
Hearing Site: Philadelphia, PA
|  | Dismissed |
| 20-01804 | 12/01/2020 | Claimant(s): Brian Walsh
Claimant Lawyers(s): Zachary T. Hayes-Macaluso
Respondent(s): Ameritas Investment Company
Respondent Lawyers(s): Andrea D. Snowden
Arbitrator(s): John F. Burns
Hearing Site: Philadelphia, PA
| | |
| 20-01242 | 11/17/2020 | Claimant(s): Christopher Tuck
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
| | |
| 20-01688 | 11/02/2020 | Claimant(s): Brian Pugh, Omar Rasheed
Claimant Lawyers(s): Alexander Madrid
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Nicholas J. Hendrix
Arbitrator(s): John J. Jordan, Allen M. Kerpan, Michael Allen Zeiler
Hearing Site: Philadelphia, PA
| | |
| 19-00395 | 10/21/2020 | Claimant(s): Brian Kennedy, Vincent Catalano
Claimant Lawyers(s): David J. Freniere
Respondent(s): John Dimonda, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): John J. Jordan, Louis P. Wagman, Stephen Samuel Werner
Hearing Site: Philadelphia, PA
| | |
| 20-00791 | 10/05/2020 | Claimant(s): Steven Jablonski
Claimant Lawyers(s): Brian Luther
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Philadelphia, PA
| | |
| 20-00810 | 09/17/2020 | Claimant(s): Jeffrey Bush
Claimant Lawyers(s): Brian Luther
Respondent(s): USA Financial Securities Corporation
Respondent Lawyers(s): Joel T Brusk
Arbitrator(s): Gregory J. Spadea
Hearing Site: Philadelphia, PA
| | |
| 19-03202 | 08/19/2020 | Claimant(s): Stephen Chao
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Anthony Paduano
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
| | |
| 20-00412 | 08/07/2020 | Claimant(s): Jason Gonter
Claimant Lawyers(s): Peter R. Spirgel
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s):
Hearing Site: Philadelphia, PA
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