| 19-00104 | 10/16/2019 | Claimant(s): John Novak
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): MML Investors Services
Respondent Lawyers(s): William P. Thornton
Arbitrator(s):
Hearing Site: Philadelphia, PA
| | |
| 18-02103 | 10/11/2019 | Claimant(s): Lester Hardley
Claimant Lawyers(s): Lester Efrem Hardley
Respondent(s): Nicholas Mingone, Citizens Securities.
Respondent Lawyers(s): Geoffrey W. Millsom
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Philadelphia, PA
| | |
| 18-03956 | 10/09/2019 | Claimant(s): Timothy Caso
Claimant Lawyers(s): Timothy Caso
Respondent(s): Ameriprise Financial Services., Thomas Robbins
Respondent Lawyers(s): Edward A. Walton, Joel Wertman
Arbitrator(s): Peter D. Shelp, Mary L. Sims, Suzanne Levin Wolfson
Hearing Site: Philadelphia, PA
| | |
| 18-00637 | 10/04/2019 | Claimant(s): Tetyana Luczaj
Claimant Lawyers(s): Tetyana Luczaj
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Frederick T. Smith
Arbitrator(s): Guillermo L. Bosch, Alan M. Schankel, Laura A. Kaster
Hearing Site: Philadelphia, PA
| | |
| 19-00386 | 09/10/2019 | Claimant(s): Carl Gordinier
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Steven T. Stern
Hearing Site: Philadelphia, PA
| | |
| 18-04409 | 08/19/2019 | Claimant(s): Theodore Durante
Claimant Lawyers(s): Dochtor Kennedy MBA, J.D.
Respondent(s): The Prudential Insurance Company Of Amer
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
| | |
| 18-04318 | 08/06/2019 | Claimant(s): Mark Kruman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): John F. Burns
Hearing Site: Philadelphia, PA
| | |
| 18-01136 | 07/15/2019 | Claimant(s): Joseph Pokego, Ruth Pokego
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Gordon M. Wase
Hearing Site: Philadelphia, PA
|  | Expungement |
| 18-04002 | 06/28/2019 | Claimant(s): Estate of Loraine Neitzel
Claimant Lawyers(s): David M. White
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
| | $0 |
| 18-02706 | 06/27/2019 | Claimant(s): John Rutkowski
Claimant Lawyers(s): John Anthony Rutkowski
Respondent(s): Byron Teunisen, Katelyn Malloy, Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Thomas Benjamin Salzer
Hearing Site: Philadelphia, PA
| | $0 |
