| 11-04772 | 08/14/2012 | Claimant(s): Gloria Maloney, William Sparkes
Claimant Lawyers(s): Gloria Maloney, William R. Sparkes
Respondent(s): Norman Johnson
Respondent Lawyers(s): Javier Chavez
Arbitrator(s): Walter R. Milbourne
Hearing Site: Philadelphia, PA
|  | Expungement |
| 11-02911 | 08/01/2012 | Claimant(s): Estate of Helen Marsh Exec. Wiliam Hass
Claimant Lawyers(s): Alan L. Frank
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kenneth J. Haim
Arbitrator(s): E. William Pastor
Hearing Site: Philadelphia, PA
| | $0 |
| 11-02038 | 07/27/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Kate S. Arduini
Respondent(s): Scott Hartshorn
Respondent Lawyers(s): David F. McComb
Arbitrator(s): Carol H. Gold, Faye Riva Cohen, Timothy J. Tarpey
Hearing Site: Philadelphia, PA
| | |
| 10-05689 | 07/11/2012 | Claimant(s): Louis Micciulla
Claimant Lawyers(s): David C. Franceski
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Martin S. Chester
Arbitrator(s): Edward Blumstein, William W. Lowe, Robert C. Scanlan
Hearing Site: Philadelphia, PA
| | |
| 10-05280 | 07/09/2012 | Claimant(s): Jack Shuster
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Jordan Netburn, Axiom Capital Management.
Respondent Lawyers(s): Barry S. Gold, Sophia Ree
Arbitrator(s): Michael E. Scullin
Hearing Site: Philadelphia, PA
| | Expungement |
| 11-00748 | 07/05/2012 | Claimant(s): Theresa Falzarano
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Carol Corbett, John James McGovern, Edward Charles Mengel
Hearing Site: Philadelphia, PA
| | $0 |
| 11-00605 | 07/03/2012 | Claimant(s): Alexander Schernecke
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Wells Fargo Advisors, Jamie Baraldi, UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano, Brian A. Carlis, Edward W. Larkin
Arbitrator(s): Sheldon Seligsohn, Jerry Schuchman, Frank P. Santangelo
Hearing Site: Philadelphia, PA
| | Expungement |
| 10-04699 | 06/20/2012 | Claimant(s): Frank Umbriac
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): CCO Investment Services Corp.
Respondent Lawyers(s): Nipun J. Patel
Arbitrator(s): Diane Ciccone, Robert W. Ratti, David B. Harwi
Hearing Site: Philadelphia, PA
| | $50,000 |
| 10-04544 | 06/14/2012 | Claimant(s): Lewis Shupe
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julita Kargol
Arbitrator(s): Mark E. Hollern, Demetrio S. Timban, John E. Felch
Hearing Site: Philadelphia, PA
| | Expungement |
| 10-04042 | 05/25/2012 | Claimant(s): Dalia Jakas
Claimant Lawyers(s): Michael M. Steinmetz
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Michael R. Weissmann
Arbitrator(s): Michael E. Scullin, Walter R. Milbourne, Catherine S. Kopley
Hearing Site: Philadelphia, PA
| | Expungement |
