| 13-00828 | 01/30/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Patrick McFadden
Respondent Lawyers(s): Patrick McFadden
Arbitrator(s): John J. Jordan
Hearing Site: Philadelphia, PA
| | |
| 10-04703 | 01/28/2014 | Claimant(s): Jane Katzen
Claimant Lawyers(s): Alan Gilmore
Respondent(s): Frank Faverzani, Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): E. William Pastor, Glenn J. Hansen, Paul Ribner
Hearing Site: Philadelphia, PA
|  | $375 |
| 12-02908 | 01/16/2014 | Claimant(s): Colleen Bailey, Ronald Bailey
Claimant Lawyers(s): Michael Hill
Respondent(s): Josh Jalinski, TFS Securities.
Respondent Lawyers(s): Kate E. DiGeronimo, Russell S. Burnside
Arbitrator(s): Roslyn G. Pollack
Hearing Site: Philadelphia, PA
| | Expungement |
| 12-02879 | 01/15/2014 | Claimant(s): Arlene Brooke
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): Paul Ribner
Hearing Site: Philadelphia, PA
| | Expungement |
| 12-03610 | 01/14/2014 | Claimant(s): Joseph Czarnecki, Nancy Czarnecki
Claimant Lawyers(s): Glenn S. Gitomer
Respondent(s): Securities America., Michael Sztrom, Raymond Lucia, First Allied Securities., RJL Wealth Management, Raymond J. Lucia Companies.
Respondent Lawyers(s): Denis C. Dice, Michael Sztrom, Neal S. Robb
Arbitrator(s): Sheldon Seligsohn, Ethan L. Lewis, Laura A. Kaster
Hearing Site: Philadelphia, PA
| | Expungement |
| 13-01234 | 01/09/2014 | Claimant(s): Yolanda Blount
Claimant Lawyers(s): Yolanda Fae Blount
Respondent(s): NYLife Securities LLC, NYLife Insurance Company of Arizona, New York Life Insurance & Annuity Corp., New York Life Insurance Company
Respondent Lawyers(s): Paul C. Evans
Arbitrator(s): Alan J. Blocher, Peter A. Scarpato, Timothy James Potero
Hearing Site: Philadelphia, PA
| | |
| 13-00967 | 12/30/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward G Winsman
Respondent(s): Todd Lisetski
Respondent Lawyers(s): Todd Steven Lisetski
Arbitrator(s): Walter R. Milbourne
Hearing Site: Philadelphia, PA
| | |
| 12-03040 | 12/24/2013 | Claimant(s): Marcus Hernandez
Claimant Lawyers(s): Thomas J. Momjian
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Jeffrey A. Sturgeon
Arbitrator(s): Peter A. Scarpato
Hearing Site: Philadelphia, PA
| | |
| 13-00033 | 12/16/2013 | Claimant(s): Phone Sales USA., Randy Mims IRA
Claimant Lawyers(s): Randy Mims
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Alan J. Blocher, Kenneth D. Morris, Robin L. Lewis
Hearing Site: Philadelphia, PA
| | $10,000 |
| 11-01556 | 12/12/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John D. Miller
Respondent(s): Gia Atlas
Respondent Lawyers(s): Mitchell Schley
Arbitrator(s): Mitchell S. Friedman, Michael P. Marryshow, Nicholas James Johnson
Hearing Site: Philadelphia, PA
| | |
