| 16-00972 | 09/25/2017 | Claimant(s): John Patterson, Stella Patterson, John Patterson and Stella Patterson
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Ladenburg Thalmann & Co. Inc.
Respondent Lawyers(s): Michael D. Handelsman
Arbitrator(s): Gordon M. Wase, Kathleen K. Murphy, John James McGovern
Hearing Site: Philadelphia, PA
|  | $358,200 |
| 16-02611 | 08/24/2017 | Claimant(s): Dennis Weidenbush
Claimant Lawyers(s): Dennis Weidenbush
Respondent(s): USAA Investment Management Company
Respondent Lawyers(s): Theodore Schultz
Arbitrator(s): Thomas Benjamin Salzer
Hearing Site: Philadelphia, PA
| | $0 |
| 16-00265 | 06/15/2017 | Claimant(s): Gesang Verein Harmonia Inc.
Claimant Lawyers(s): David P. Meyer
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Gavin F. Quill
Arbitrator(s): Elliot B. Platt, Laura Marini Davis, Kattina V. Barsik
Hearing Site: Philadelphia, PA
| | $0 |
| 16-03052 | 05/31/2017 | Claimant(s): Thomas Ahern
Claimant Lawyers(s): Dennis G Peatrowsky
Respondent(s): J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): David Smitham
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Philadelphia, PA
| | |
| 16-01316 | 05/30/2017 | Claimant(s): Barbara Capozzoli
Claimant Lawyers(s): Ross David Carmel
Respondent(s): Donald Lamson, John Risley, L.O. Thomas & Co. Inc.
Respondent Lawyers(s): Marc S. Gottlieb
Arbitrator(s): Dale A. Pope, Thomas Benjamin Salzer, Laura A. Kaster
Hearing Site: Philadelphia, PA
| | $0 |
| 16-02190 | 03/29/2017 | Claimant(s): Randy Mims, IRA
Claimant Lawyers(s): Randy Mims
Respondent(s): Gregory Kuhn
Respondent Lawyers(s): Joel Davidson
Arbitrator(s): Rafael A. Porrata-Doria, Kathleen K. Murphy, Leo J. Karwejna
Hearing Site: Philadelphia, PA
| | $0 |
| 16-01944 | 03/23/2017 | Claimant(s): Alan Hill
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith F. Hoffman
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
| | $12,721 |
| 15-02216 | 03/20/2017 | Claimant(s): Robert Thoma
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew E. Gelfand
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | Expungement |
| 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 |
| 14-03186 | 02/24/2017 | Claimant(s): Thomas Lewis, Lewis Family Limited Partnership
Claimant Lawyers(s): Alan Frank
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Matthew A. White
Arbitrator(s): Thomas Benjamin Salzer, Richard M. Rosenbleeth, Timothy Towles Stevens
Hearing Site: Philadelphia, PA
| | $600 |
