| 12-04217 | 07/11/2013 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Courtney M. Rogers-Reid
Respondent(s): Andrew Woolf
Respondent Lawyers(s): A. Wilson Woolf
Arbitrator(s): Ronald P. Wertheim
Hearing Site: Philadelphia, PA
| | |
| 11-00896 | 06/26/2013 | Claimant(s): Leonard Nole
Claimant Lawyers(s): Steven H. Doto
Respondent(s): Citigroup Global Markets., John Graff, Scott Whalen
Respondent Lawyers(s): Lawrence G. Barbot
Arbitrator(s): Robert F. Sanville, Alan J. Blocher, Carol H. Gold
Hearing Site: Philadelphia, PA
|  | Expungement |
| 11-02041 | 06/05/2013 | Claimant(s): Robert Schadewald, IRA
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Edward F. Koren, Shelley J. Michaels, Mary E. Mabry
Hearing Site: Philadelphia, PA
| | Expungement |
| 11-03256 | 05/28/2013 | Claimant(s): Mario R. Gebbia as Trustee of the Mario
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Elliot B. Platt, Kathleen L. Daerr-Bannon, Mary L. Sims
Hearing Site: Philadelphia, PA
| | Expungement |
| 12-01804 | 05/21/2013 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Joseph Bardzilowski
Respondent Lawyers(s): Joseph George Bardzilowski
Arbitrator(s): Walter R. Milbourne
Hearing Site: Philadelphia, PA
| | |
| 12-00242 | 05/13/2013 | Claimant(s): Linda Hall, Robert Hall
Claimant Lawyers(s): Linda A Hall, Robert D. Hall
Respondent(s): Gary Klem, Morgan Stanley
Respondent Lawyers(s): Susan Poder MacFarlane
Arbitrator(s): Peter A. Scarpato
Hearing Site: Philadelphia, PA
| | $0 |
| 11-00747 | 05/09/2013 | Claimant(s): Ben Karmel
Claimant Lawyers(s): Ben Karmel
Respondent(s): Clark Dodge & Co..
Respondent Lawyers(s): Brian J. Davis
Arbitrator(s): John James McGovern
Hearing Site: Philadelphia, PA
| | $0 |
| 11-03898 | 04/11/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): A. J. Borrelli
Respondent(s): James Meis
Respondent Lawyers(s): Thomas J. Momjian
Arbitrator(s): Benjamin F. Richards, David M. Panko, Lawrence J. Roth
Hearing Site: Philadelphia, PA
| | |
| 10-03969 | 04/10/2013 | Claimant(s): Skip Massengill
Claimant Lawyers(s): George Bochetto
Respondent(s): Commerce Capital Markets., TD Wealth Management Services Inc.
Respondent Lawyers(s): Risa B. Boerner
Arbitrator(s): Carol H. Gold, E. William Pastor, Timothy J. Tarpey
Hearing Site: Philadelphia, PA
| | |
| 11-02045 | 03/28/2013 | Claimant(s): James McDevitt
Claimant Lawyers(s): James Bruce McDevitt
Respondent(s): Dawn Dupre, PNC Investments
Respondent Lawyers(s): Deborah I. Ecker
Arbitrator(s): Daniel E. Bacine
Hearing Site: Philadelphia, PA
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