| 13-01775 | 01/16/2015 | Claimant(s): Betty Schechter, Claire Schechter
Claimant Lawyers(s): Alex E. Rogers
Respondent(s): Wells Fargo Advisors, H. Pietraccini
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Michael P. Marryshow, Catherine Stewart, Robin L. Lewis
Hearing Site: Philadelphia, PA
|  | Expungement |
| 13-03131 | 01/15/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Megan M. Christensen
Respondent(s): Steve Marciniak
Respondent Lawyers(s): David A. Gehn
Arbitrator(s): Gordon M. Wase, John Joseph Borzi, Patrick R. Westerkamp, Esq.
Hearing Site: Philadelphia, PA
| | |
| 13-02251 | 01/05/2015 | Claimant(s): Thomas Bradley, Thomas Bradley IRA
Claimant Lawyers(s): Dan A. Druz
Respondent(s): Timothy Ennis, Janney Montgomery Scott LLC
Respondent Lawyers(s): Julie E. Ravis
Arbitrator(s): Elizabeth A. McKinney, Michael P. Marryshow, Kathleen Jones Spilker
Hearing Site: Philadelphia, PA
| | $0 |
| 13-00267 | 12/30/2014 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David Belcher
Respondent(s): Timothy Trifeletti
Respondent Lawyers(s): Timothy Trifeletti
Arbitrator(s): Alan J. Blocher, Noel B. Berman, John James McGovern
Hearing Site: Philadelphia, PA
| | |
| 13-03054 | 12/30/2014 | Claimant(s): Wayne Lewis
Claimant Lawyers(s): Wayne R. Lewis
Respondent(s): Ameriprise Financial Services., Lawrence Van Ollefen
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Steven T. Stern, Louis P. Wagman, Kathleen Jones Spilker
Hearing Site: Philadelphia, PA
| | $0 |
| 13-00048 | 12/26/2014 | Claimant(s): Carolyn Eachus, Warren Eachus
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Jill Leeds-Rivera, Kathleen K. Murphy, Paul Ribner
Hearing Site: Philadelphia, PA
| | Expungement |
| 13-00353 | 11/20/2014 | Claimant(s): Margaret Vasily
Claimant Lawyers(s): Russell S. Burnside
Respondent(s): Alexander Swanson, Horan Capital Management
Respondent Lawyers(s): Brian Carlis, Howard E. Greenberg
Arbitrator(s): Rafael A. Porrata-Doria, Alan J. Blocher, Kevin Joseph O'Malley
Hearing Site: Philadelphia, PA
| | $479,116 |
| 14-00882 | 11/06/2014 | Claimant(s): Robert Friedman
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): J. Burke McCormick
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Philadelphia, PA
| | |
| 13-03606 | 11/04/2014 | Claimant(s): CCO Investment Services Corp., RBS Citizens, N.A.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Thomas Kelly
Respondent Lawyers(s): Andrew Laird
Arbitrator(s): Rafael A. Porrata-Doria, Fred M. Fleisher, David F. Griesing
Hearing Site: Philadelphia, PA
| | |
| 13-00877 | 10/30/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): John K. Wells
Respondent(s): Matthew MacMichael
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Jim Geiger, David Marcus, Gregory J. Spadea
Hearing Site: Philadelphia, PA
| | |
