| 12-01957 | 12/04/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Lewis Lucarine
Respondent Lawyers(s): Lewis J. Lucarine
Arbitrator(s): Jim Geiger, Diane Ciccone, Timothy J. Tarpey
Hearing Site: Philadelphia, PA
| | |
| 14-00588 | 12/01/2015 | Claimant(s): Janette Adams
Claimant Lawyers(s): Stephen Guice
Respondent(s): Jeffrey Adams, Philip Patragnoni, PNC Investments
Respondent Lawyers(s): Brian A. Carlis, Jeffrey Adams
Arbitrator(s): Carol H. Gold, Catherine S. Kopley, Laura A. Kaster
Hearing Site: Philadelphia, PA
|  | $0 |
| 14-03286 | 12/01/2015 | Claimant(s): Heather Law, Kenneth Law
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Michael P. Marryshow
Hearing Site: Philadelphia, PA
| | $0 |
| 13-02607 | 11/12/2015 | Claimant(s): Chris Saporito
Claimant Lawyers(s): Jeffrey Steinbrecher
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Miles D. Hart
Arbitrator(s): Gordon M. Wase, Fred M. Fleisher, Donald Saunders Litman
Hearing Site: Philadelphia, PA
| | $0 |
| 15-00979 | 11/10/2015 | Claimant(s): Joanne Clothier
Claimant Lawyers(s): Moshe Y. Singer
Respondent(s): National Securities Corporation, William Madara
Respondent Lawyers(s): Jay Israel, Michael P. Gilmore
Arbitrator(s): Steven T. Stern
Hearing Site: Philadelphia, PA
| | $47,550 |
| 14-03142 | 11/03/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Barry Blount
Respondent Lawyers(s): Barry Boyd Blount
Arbitrator(s): John J. Jordan
Hearing Site: Philadelphia, PA
| | |
| 14-01793 | 10/27/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas Lewis
Respondent(s): Robert Estep
Respondent Lawyers(s): L. Renee Lieux
Arbitrator(s): Alan J. Blocher, Peter Edward Sheridan, Kenneth Mark Jingozian
Hearing Site: Philadelphia, PA
| | |
| 14-01779 | 10/26/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas Lewis
Respondent(s): Kevin Kane, Robert Estep
Respondent Lawyers(s): L. Renee Lieux
Arbitrator(s): Dale A. Pope, Roslyn G. Pollack, Gerald S. Smith
Hearing Site: Philadelphia, PA
| | |
| 15-00081 | 10/13/2015 | Claimant(s): Julian Osterneck
Claimant Lawyers(s): Julian Osterneck
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Gordon M. Wase
Hearing Site: Philadelphia, PA
| | $0 |
| 14-02846 | 10/09/2015 | Claimant(s): Don Slutsky, Matthew Slutsky, Peter Slutsky, Phyllis Slutsky
Claimant Lawyers(s): Adam M. Green
Respondent(s): Stifel, Nicolaus & Co.., Robert Franco, Thomas Chance
Respondent Lawyers(s): Jeffrey C Primiano
Arbitrator(s): Michael P. Marryshow
Hearing Site: Philadelphia, PA
| | Expungement |
