| 11-00578 | 02/01/2012 | Claimant(s): Jamie Tyszka, Lawrence Barr, Estate of Perry I. Barr, Deceased
Claimant Lawyers(s): Steven C. Forman
Respondent(s): Morgan Stanley & Co., Stanley Lerner
Respondent Lawyers(s): John Castelly
Arbitrator(s): Guillermo L. Bosch, Benjamin F. Richards, David M. Panko
Hearing Site: Philadelphia, PA
|  | $0 |
| 11-02406 | 01/30/2012 | Claimant(s): Kathleen Appleton
Claimant Lawyers(s): Kathleen M. Appleton
Respondent(s): Joseph Voelker, Marc Dobb
Respondent Lawyers(s): Carrie Bechtold
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
| | $38 |
| 11-00712 | 01/20/2012 | Claimant(s): William Sudyka, William E. Sudyka, Rollover IRA, Roth IRA
Claimant Lawyers(s): Mark C. Lauria
Respondent(s): Glenn King, Thomas Santucci
Respondent Lawyers(s): Glenn Robert King, Thomas John Santucci
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
| | Expungement |
| 10-01684 | 01/13/2012 | Claimant(s): Britta Chojnacki, David Brill, Walter Chojnacki
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Christopher Shufeldt, La Salle St. Securities, L.L.C., Kimball & Cross Investment Mgmt Corp.
Respondent Lawyers(s): James D. Fornari, John C. Clifford, Matthew M. Showel
Arbitrator(s): Gordon E. Wright, Joseph L. Farrell, Joseph R. Lally
Hearing Site: Philadelphia, PA
| | $42,800 |
| 10-03605 | 01/09/2012 | Claimant(s): Myrl Mladenoff, Myrl E. Mladenoff & Leroy K Mladenoff
Claimant Lawyers(s): Christopher J. Coyle
Respondent(s): Robert Lowrie, Edward Jones
Respondent Lawyers(s): Javier Chavez
Arbitrator(s): Alan J. Blocher
Hearing Site: Philadelphia, PA
| | $10,000 |
| 10-02867 | 01/04/2012 | Claimant(s): Nino Calabrese
Claimant Lawyers(s): H. Robert Boney
Respondent(s): Morgan Stanley & Co., Thomas Hurley
Respondent Lawyers(s): Susan Poder MacFarlane
Arbitrator(s): Paul J. Greco
Hearing Site: Philadelphia, PA
| | $0 |
| 10-01923 | 12/14/2011 | Claimant(s): Karen Kramer, Richard Kramer IRA
Claimant Lawyers(s): Joel D. Feldman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): John L. Castelly
Arbitrator(s): Guillermo L. Bosch, Margaret Mary Crumley, L. Martin Miller
Hearing Site: Philadelphia, PA
| | Expungement |
| 10-03776 | 11/30/2011 | Claimant(s): Larry and Barbara Friedman
Claimant Lawyers(s): David E. Robbins
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Michael Gibson
Arbitrator(s): Michael E. Scullin, David F. Griesing, Catherine S. Kopley
Hearing Site: Philadelphia, PA
| | $625,000 |
| 10-04264 | 11/30/2011 | Claimant(s): Mark Oslick
Claimant Lawyers(s): Daniel M. Hanifin
Respondent(s): David Zane, Stephen Cordasco, RBC Capital Markets Corporation
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Thomas Benjamin Salzer
Hearing Site: Philadelphia, PA
| | Expungement |
| 11-00926 | 11/22/2011 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Ronald Aungst
Respondent Lawyers(s): Ronald A Aungst
Arbitrator(s): John J. Jordan
Hearing Site: Philadelphia, PA
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