| 13-00759 | 12/12/2013 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph Keenan
Respondent(s): Anthony Wall
Respondent Lawyers(s): Anthony A. Wall
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | |
| 11-03025 | 12/06/2013 | Claimant(s): James W. Umstead & Betty L. Umstead
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Nations Financial Group.
Respondent Lawyers(s): William T. McCartan
Arbitrator(s): Rafael A. Porrata-Doria, Margaret Mary Crumley, Paul Ribner
Hearing Site: Philadelphia, PA
|  | $230,124 |
| 12-01031 | 12/04/2013 | Claimant(s): William Turner
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Anthony Lodati, Yousuf Saljooki, Brookville Capital Partners
Respondent Lawyers(s): Brett D. Zinner
Arbitrator(s): Ronald P. Wertheim
Hearing Site: Philadelphia, PA
| | Expungement |
| 13-01731 | 12/04/2013 | Claimant(s): Jerome Miller
Claimant Lawyers(s): Jerome Miller
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Steven T. Stern
Hearing Site: Philadelphia, PA
| | $0 |
| 10-04321 | 12/03/2013 | Claimant(s): Frederick Lewis, Lois Lewis
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Joseph A. Vallo
Arbitrator(s): John J. Jordan, Stephen T. Mayhew, Michael P. Marryshow
Hearing Site: Philadelphia, PA
| | $297,516 |
| 12-02526 | 11/26/2013 | Claimant(s): Maryann Araman, Antone Araman
Claimant Lawyers(s): Glenn S. Gitomer
Respondent(s): Joseph Gunnar & Co. LLC
Respondent Lawyers(s): John E. Lawlor
Arbitrator(s): Diane Ciccone, Kathleen L. Daerr-Bannon, Timothy James Potero
Hearing Site: Philadelphia, PA
| | $674,030 |
| 12-01411 | 11/22/2013 | Claimant(s): George Mabrey
Claimant Lawyers(s): Steven H. Berkowitz
Respondent(s): Charles Ehnot, Wells Fargo Advisors, Midsouth Capital.
Respondent Lawyers(s): Demian J. Betz, Robert J. Murphy
Arbitrator(s): Thomas Benjamin Salzer, Michael P. Marryshow, Joseph J. Dougherty
Hearing Site: Philadelphia, PA
| | $0 |
| 11-02495 | 11/18/2013 | Claimant(s): Alexander Simanovsky
Claimant Lawyers(s): Christopher C. Coss
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Diane Ciccone, Sheldon Seligsohn, Jonathan A. Siegel
Hearing Site: Philadelphia, PA
| | |
| 12-01840 | 10/24/2013 | Claimant(s): Rose Mary Schemel
Claimant Lawyers(s): Julia K. Munley
Respondent(s): Nicholas Polito, PNC Bank, N.A., PNC Investments
Respondent Lawyers(s): Brian A. Carlis, Nicholas John Polito
Arbitrator(s): Rochelle K. Kaplan, Donald S. Bauman, Arthur Peter Bedrosian
Hearing Site: Philadelphia, PA
| | $0 |
| 12-02233 | 10/03/2013 | Claimant(s): John De Felice, Joseph De Felice
Claimant Lawyers(s): Vincent J. Imbesi
Respondent(s): Raymond, James & Associates., Michael Napolitano
Respondent Lawyers(s): Kelli Hartsook
Arbitrator(s): John James McGovern
Hearing Site: Philadelphia, PA
| | $0 |
