| 07-02449 | 09/22/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Richard Smithson
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Edward T. Borer, Stephen T. Mayhew, Jack H. McNairy
Hearing Site: Philadelphia, PA
| | |
| 07-03268 | 09/12/2008 | Claimant(s): Scott Champion
Claimant Lawyers(s): Steven T. Stern
Respondent(s): Securities America.
Respondent Lawyers(s): Denis C. Dice
Arbitrator(s): Rafael A. Porrata-Doria
Hearing Site: Philadelphia, PA
| | |
| 07-03269 | 09/12/2008 | Claimant(s): Beatrice Kershenblatt
Claimant Lawyers(s): Beatrice B. Kershenblatt
Respondent(s): David Karp, A.G. Edwards & Sons.
Respondent Lawyers(s): David Butler
Arbitrator(s): Joseph R. Lally, Sean M. Sweeney, Allen M. Kerpan
Hearing Site: Philadelphia, PA
|  | $0 |
| 07-03435 | 08/13/2008 | Claimant(s): Paul Vagnozzi, Estate of Charlotte Vagnozzi
Claimant Lawyers(s): Richard DeVita
Respondent(s): Enrico Caiazzo, UBS Financial Services Inc.
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Martin Kobak, John L. Braxton, Laura A. Kaster
Hearing Site: Philadelphia, PA
| | $0 |
| 07-02052 | 08/11/2008 | Claimant(s): Libucki and Company.
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): Birchwood Securities Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Michael D. Neft, Kenneth Joseph Beahan, Court O. Anderson
Hearing Site: Philadelphia, PA
| | |
| 07-03376 | 07/23/2008 | Claimant(s): Scott Rosenberg
Claimant Lawyers(s): Scott Rosenberg
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Robert F. Sanville
Hearing Site: Philadelphia, PA
| | |
| 07-00957 | 07/15/2008 | Claimant(s): Robert Harth, Trustee for Elizabeth Ha
Claimant Lawyers(s): Edward J. Dimon
Respondent(s): Charles Faig, Wachovia Securities, Herbert Roemmele, Trina Mitsch
Respondent Lawyers(s): Ryan P. Smith
Arbitrator(s): Vernon C. Walker, Dennis C. Meyerson, E. William Pastor
Hearing Site: Philadelphia, PA
| | Stipulated Award and Expungement |
| 07-03201 | 06/10/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Barry Brinster
Respondent Lawyers(s): Barry Brinster
Arbitrator(s): Paul J. Greco
Hearing Site: Philadelphia, PA
| | $0 |
| 07-01458 | 04/25/2008 | Claimant(s): Gerald Kessler
Claimant Lawyers(s): Michael B. Dubin
Respondent(s): Wachovia Securities, Paul Baker
Respondent Lawyers(s): Andrew R. Park, Joseph A. Dougherty
Arbitrator(s): Michael D. Neft, Harold P. Starr, George F. Adams
Hearing Site: Philadelphia, PA
| | |
| 07-02087 | 03/20/2008 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Carrie L. Chelko
Respondent(s): Jonathan Barkman
Respondent Lawyers(s): Jonathan Wayne Barkman
Arbitrator(s): Allen B. Lang, Robert W. Ratti, Antonio Albano
Hearing Site: Philadelphia, PA
| | |
