| 11-03184 | 04/27/2012 | Claimant(s): Barry Adelman
Claimant Lawyers(s): Joseph E. Kluger
Respondent(s): John Gager, Thomas Schorn, First Allied Securities.
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Marshall S. Galinsky
Hearing Site: Philadelphia, PA
|  | $25,425 |
| 10-02643 | 04/26/2012 | Claimant(s): Caron Masucci, Douglas Masucci
Claimant Lawyers(s): Joseph C. Korsak
Respondent(s): Morgan Stanley, William Crumrine
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Edward T. Borer, Marshall S. Galinsky, Gordon M. Wase
Hearing Site: Philadelphia, PA
| | $0 |
| 10-03602 | 04/04/2012 | Claimant(s): Eiko Nernoff, John Nernoff
Claimant Lawyers(s): Steven R. Blair
Respondent(s): William Lex
Respondent Lawyers(s): Gilbert B. Abramson
Arbitrator(s): Daniel J. McCarthy, Peter A. Scarpato, Peter Edward Sheridan
Hearing Site: Philadelphia, PA
| | $0 |
| 11-00259 | 03/28/2012 | Claimant(s): Kenneth White
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Cuna Brokerage Services.
Respondent Lawyers(s): Louis H. Castoria
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
| | $0 |
| 09-03823 | 03/23/2012 | Claimant(s): Phensiri Kalmbach
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Dennis C. Dice
Arbitrator(s): Jerry Schuchman, John T. Hausladen
Hearing Site: Philadelphia, PA
| | Expungement |
| 11-01308 | 03/09/2012 | Claimant(s): Daniel Rosenthal, Robert Hirsh
Claimant Lawyers(s): Herbert Beigel
Respondent(s): William Fretz, The Keystone Equities Group, L.P.
Respondent Lawyers(s): Mu'min F. Islam
Arbitrator(s): Guillermo L. Bosch, John P. Hughes, Walter R. Milbourne
Hearing Site: Philadelphia, PA
| | $0 |
| 11-04103 | 03/06/2012 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): William Bucci
Respondent Lawyers(s): Robert M. Tobia
Arbitrator(s): Paul J. Greco
Hearing Site: Philadelphia, PA
| | |
| 11-01510 | 02/17/2012 | Claimant(s): Diana Calderaio, John Calderaio, Paul Calderaio
Claimant Lawyers(s): John A. Calderaio
Respondent(s): Wells Fargo Advisors, Robert Misener
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Kathleen K. Murphy
Hearing Site: Philadelphia, PA
| | $225 |
| 10-02431 | 02/14/2012 | Claimant(s): Marcus Hernandez
Claimant Lawyers(s): Christopher Coss
Respondent(s): E*Trade Securities LLC, E* Trade Financial Corporation
Respondent Lawyers(s): Michael Banks
Arbitrator(s): Daniel J. McCarthy, Timothy J. Tarpey, Joseph H. Danziger
Hearing Site: Philadelphia, PA
| | |
| 10-01601 | 02/03/2012 | Claimant(s): Helen Dunlap Trust, Willis F. Dunlap Trust
Claimant Lawyers(s): James R Anderson, James R. Anderson
Respondent(s): Jay Harriman, Raymond James Financial Services.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): E. William Pastor, Catherine Stewart, Karen R. Perri
Hearing Site: Philadelphia, PA
| | $15,300 |
