| 22-00712 | 02/15/2023 | Claimant(s): Stephen Peiffer
Claimant Lawyers(s): Jon-Jorge Aras
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Denis Dice
Arbitrator(s): Jim Geiger, Lisette Lazinger Tarragano, George Aleman
Hearing Site: Philadelphia, PA
| | |
| 18-02342 | 12/27/2022 | Claimant(s): Marianne Antczak
Claimant Lawyers(s): Theodor A. Swansen
Respondent(s): Bridget Fernandez, TD Ameritrade Clearing., TD Ameritrade., TD Ameritrade Investment Management
Respondent Lawyers(s): Bridget A. Fernandez, Neils P. Murphy
Arbitrator(s): Donald S. Bauman, George Aleman, Andrew S. Walsh
Hearing Site: Philadelphia, PA
|  | $1,662,660 |
| 22-01249 | 12/20/2022 | Claimant(s): Stanley Cooper
Claimant Lawyers(s): Denis Dice
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Jim Geiger, Alan J. Blocher, Thomas R Nathan
Hearing Site: Philadelphia, PA
| | |
| 22-01013 | 12/07/2022 | Claimant(s): James Leo
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Summit Financial Services Group.
Respondent Lawyers(s): Charles Sax
Arbitrator(s): John T. Hausladen, Joseph J. Dougherty, Louis P. Wagman
Hearing Site: Philadelphia, PA
| | |
| 20-00452 | 12/02/2022 | Claimant(s): Barbara Moger
Claimant Lawyers(s): Christopher J. Albanese
Respondent(s): Christopher Braccia, Stephen Oliver, First Allied Securities.
Respondent Lawyers(s): Garry T. Stevens
Arbitrator(s): Diane Ciccone, Carol H. Gold, Christin Kim
Hearing Site: Philadelphia, PA
| | Expungement |
| 21-02784 | 10/07/2022 | Claimant(s): Fred Horrocks
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): MMLInvestors Services
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): Thomas E Kopil
Hearing Site: Philadelphia, PA
| | |
| 20-03674 | 09/22/2022 | Claimant(s): Richard Dawalt
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Joseph Stone Capital L.L.C.
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Rafael A. Porrata-Doria, Fred W. Miller, Stephen J. Scherf
Hearing Site: Philadelphia, PA
| | $75,000 |
| 22-00331 | 09/13/2022 | Claimant(s): Gerald Preschutti
Claimant Lawyers(s): Stephan Louviere
Respondent(s): BCG Securities.
Respondent Lawyers(s): Jessica E. Levine
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
| | |
| 22-00457 | 09/07/2022 | Claimant(s): Alfred Macli
Claimant Lawyers(s): Robert Loventhal
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Fred W. Miller
Hearing Site: Philadelphia, PA
| | $0 |
| 22-00228 | 08/30/2022 | Claimant(s): Timothy Flatley
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Kristina J. Branstetter
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
| | |
