| 11-02314 | 02/14/2013 | Claimant(s): Peter Kawash
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Barbara Mihalik-Zeitoun, UBS Financial Services Inc.
Respondent Lawyers(s): Dan Rosenbaum
Arbitrator(s): Edward F. Koren
Hearing Site: Philadelphia, PA
|  | Expungement |
| 12-03123 | 02/06/2013 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Patrick J. Howley
Respondent(s): Brian Allen
Respondent Lawyers(s): Brian Allen
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | |
| 11-00784 | 01/25/2013 | Claimant(s): Michael Kloc
Claimant Lawyers(s): Leslie Wybiral
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): Jerry Schuchman, Timothy Towles Stevens, Carla Fisher
Hearing Site: Philadelphia, PA
| | |
| 12-02344 | 01/17/2013 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Raymond Spinelli
Respondent Lawyers(s): Raymond Thomas Spinelli
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Philadelphia, PA
| | |
| 09-06568 | 01/11/2013 | Claimant(s): John Turtzo, Estate of John A. Turtzo
Claimant Lawyers(s): Malcolm J. Gross
Respondent(s): Citigroup Global Markets., Peter Joseph, Ray Starner
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Marshall S. Galinsky, Steven T. Stern, Richard Frank Colello
Hearing Site: Philadelphia, PA
| | $0 |
| 12-01930 | 01/10/2013 | Claimant(s): Joan Fugok
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Jamie Lake, Triad Advisors.
Respondent Lawyers(s): Daniel I. MacIntyre, Jamie Patrick Lake
Arbitrator(s): Gordon M. Wase
Hearing Site: Philadelphia, PA
| | $0 |
| 12-02390 | 12/21/2012 | Claimant(s): A.J. Land, Kathy Land
Claimant Lawyers(s): A.J. Land
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Paul Mullen
Respondent Lawyers(s): Jill Del Monico
Arbitrator(s): William J. Hirsch
Hearing Site: Philadelphia, PA
| | $0 |
| 11-00754 | 12/04/2012 | Claimant(s): Carole Abom, John Abom
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Patrick R. Mahoney
Arbitrator(s): Elliot B. Platt, Glenn Lloyd Nobel, Shelley J. Michaels
Hearing Site: Philadelphia, PA
| | Expungement |
| 09-04874 | 11/15/2012 | Claimant(s): Henry Tutek
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Malcolm J. Irving, Michael E. Scullin, Harold Yaskin
Hearing Site: Philadelphia, PA
| | $0 |
| 12-01745 | 11/14/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jason Warner
Respondent(s): Gregg Strongin
Respondent Lawyers(s): Gregg Elliott Strongin
Arbitrator(s): William J. Hirsch
Hearing Site: Philadelphia, PA
| | |
