| 13-01771 | 10/29/2014 | Claimant(s): Robert Brendell
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., William Seyle
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Jim Geiger, John Michael Derderian, L. Martin Miller
Hearing Site: Philadelphia, PA
|  | Expungement |
| 14-00408 | 10/27/2014 | Claimant(s): Keith Steidle
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): PLC Design. 401K Plan
Respondent Lawyers(s): Robert G. Varkonyi
Arbitrator(s): David M. Panko, Michael P. Marryshow, Donald S. Bauman
Hearing Site: Philadelphia, PA
| | Expungement |
| 12-04073 | 10/16/2014 | Claimant(s): Rose Gugliemetti
Claimant Lawyers(s): Scudder G. Stevens
Respondent(s): TD Ameritrade., TD Bank, USA
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
| | $13,750 |
| 10-04386 | 10/02/2014 | Claimant(s): Judith Goldman, Kenneth Goldman
Claimant Lawyers(s): Richard J. Gerace
Respondent(s): Barry Guariglia, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Toby S. Soli
Arbitrator(s): Jim Geiger, Doris J. Dabrowski, James T. McLaughlin
Hearing Site: Philadelphia, PA
| | $0 |
| 13-02300 | 09/30/2014 | Claimant(s): Donna Sabb, George Adams
Claimant Lawyers(s): Vincent Imbesi
Respondent(s): Virginia Smith, Virginia M. Smith Irrevocable Trust
Respondent Lawyers(s): Pierson Backes
Arbitrator(s): Steven T. Stern
Hearing Site: Philadelphia, PA
| | Expungement |
| 13-02956 | 09/26/2014 | Claimant(s): Carly Mccarty
Claimant Lawyers(s): Stephen R. Bosin
Respondent(s): PNC Investments
Respondent Lawyers(s): Gary Lieberman
Arbitrator(s): Jim Geiger, John T. Hausladen, Gary I. Kravis
Hearing Site: Philadelphia, PA
| | |
| 13-03390 | 09/09/2014 | Claimant(s): Kenneth Rubin and Lisa Rubin, 2012 Rubin Family Irrevocable Trust
Claimant Lawyers(s): Robert Grundlock
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Gordon M. Wase
Hearing Site: Philadelphia, PA
| | $0 |
| 13-00252 | 09/08/2014 | Claimant(s): Mark Piccirillo
Claimant Lawyers(s): Michelle A. Fioravanti
Respondent(s): Morgan Stanley
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Philadelphia, PA
| | $0 |
| 10-05445 | 08/21/2014 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph F. Keenan
Respondent(s): Gregory Dotter
Respondent Lawyers(s): Gregory Dotter
Arbitrator(s): Edward T. Borer, Jim Geiger, Bernard Herman, Glenn J. Hansen, Roger Frazier Cox, Mark H. Stein
Hearing Site: Philadelphia, PA
| | |
| 12-04249 | 08/20/2014 | Claimant(s): Robert Coifman
Claimant Lawyers(s): Robert E. Coifman
Respondent(s): Bishop, Rosen & Co..
Respondent Lawyers(s): Isaac Schlesinger
Arbitrator(s): Michael P. Marryshow
Hearing Site: Philadelphia, PA
| | $0 |
