| 23-02033 | 11/17/2023 | Claimant(s): Charles Reimer
Claimant Lawyers(s): James P. Galvin
Respondent(s): Citizens Securities.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Thomas E Kopil, Arthur Traldi, Michael Daniel Lamm
Hearing Site: Philadelphia, PA
| | |
| 23-01481 | 11/08/2023 | Claimant(s): B. Riley Wealth Management
Claimant Lawyers(s): Emily Hayes
Respondent(s): Timothy Breslin
Respondent Lawyers(s): Timothy James Breslin
Arbitrator(s): George Forest Bingham
Hearing Site: Philadelphia, PA
| | |
| 23-01583 | 10/20/2023 | Claimant(s): Mariano Tancredi
Claimant Lawyers(s): Mariano Tancredi
Respondent(s): Andreas Wochtl, Wells Fargo Clearing Services
Respondent Lawyers(s): Jason Kempf
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
|  | $5,075 |
| 22-02424 | 10/20/2023 | Claimant(s): Michael Norton
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Lincoln Financial Distributors.
Respondent Lawyers(s): Dustin J. Tirpak
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
| | |
| 22-02304 | 10/12/2023 | Claimant(s): Joel Swartz, Germantown Imaging Associates
Claimant Lawyers(s): Joel D. Swartz
Respondent(s): Erik Snyder, Fidelity Brokerage Services LLC, Rich Hargis
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Lorrie E Whitfield
Hearing Site: Philadelphia, PA
| | $0 |
| 21-03038 | 10/09/2023 | Claimant(s): William Capece
Claimant Lawyers(s): Christopher Coss
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Stephen T. Mayhew, Gregory J. Spadea, Arthur Traldi
Hearing Site: Philadelphia, PA
| | |
| 23-01529 | 10/09/2023 | Claimant(s): Debora Scholl
Claimant Lawyers(s): Debora Scholl
Respondent(s): Alexis Cain, Lincoln Investment
Respondent Lawyers(s): Matthew Sherlock, Sean L. Corgan
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
| | $0 |
| 21-02258 | 09/19/2023 | Claimant(s): Blake Epstein, Stanley Kiec
Claimant Lawyers(s): Alan Rosca
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Megan VerGow
Arbitrator(s): Mark H. Stein, Thomas E Kopil, James Christie
Hearing Site: Philadelphia, PA
| | |
| 23-00647 | 08/16/2023 | Claimant(s): Susquehanna Financial Group, LLLP, Susquehanna International Group, LLP
Claimant Lawyers(s): Roni Mathew
Respondent(s): Mitchell Martin
Respondent Lawyers(s): Mitchell Martin
Arbitrator(s): Thomas Benjamin Salzer
Hearing Site: Philadelphia, PA
| | |
| 23-00736 | 08/10/2023 | Claimant(s): Gary Sanson
Claimant Lawyers(s): David I. Hantman
Respondent(s): Cambridge Investment Research., Voya Financial Advisors.
Respondent Lawyers(s): Denis C. Dice, Jeanette E. Dennis
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
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