| 21-02457 | 04/26/2022 | Claimant(s): Joslyn Ewart
Claimant Lawyers(s): Samuel E. Cohen
Respondent(s): Lincoln Investment
Respondent Lawyers(s): Jessica Levine
Arbitrator(s): Carol H. Gold, Richard Frank Colello, Louis P. Wagman
Hearing Site: Philadelphia, PA
| | |
| 20-04027 | 04/22/2022 | Claimant(s): Albert Epstein IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): Hornor, Townsend & Kent
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Julie K. Chapin, Laura A. Kaster, Melantha K Paige
Hearing Site: Philadelphia, PA
|  | Expungement |
| 21-02579 | 04/19/2022 | Claimant(s): Elizabeth Bennett
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): PNC Investments
Respondent Lawyers(s): Angelina T. Evans
Arbitrator(s): Mark H. Stein
Hearing Site: Philadelphia, PA
| | |
| 20-00386 | 04/13/2022 | Claimant(s): Jake Phillips, Rebecca Slavin-Phillips
Claimant Lawyers(s): Jake Phillips
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gilbert Serota
Arbitrator(s): Guillermo L. Bosch, Gail Marie Noel, M. Melvin Shralow
Hearing Site: Philadelphia, PA
| | Expungement |
| 20-02051 | 04/12/2022 | Claimant(s): Robert Haas
Claimant Lawyers(s): Michael A. Nagy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Judith P. Meyer, Laura A. Kaster, George Swindasz
Hearing Site: Philadelphia, PA
| | |
| 21-02082 | 03/25/2022 | Claimant(s): Manfred Kanther
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
| | |
| 21-02060 | 03/23/2022 | Claimant(s): John Hanlon
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
| | |
| 20-00065 | 03/17/2022 | Claimant(s): Alice Warsinske, Christopher Morris, Daryl Morris, Peter Warsinske, Sidney Warsinke, Nancy Ketchum Warsinske Trust
Claimant Lawyers(s): Alan L. Rosca
Respondent(s): Gregory Berlacher, Emerging Growth Equities, Ltd.
Respondent Lawyers(s): Joseph Dever
Arbitrator(s): Thomas Benjamin Salzer, David F. Griesing, Peter George Erdely
Hearing Site: Philadelphia, PA
| | $0 |
| 20-00671 | 03/15/2022 | Claimant(s): Carl Glowacki
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): MML Investors Services
Respondent Lawyers(s): Julie E. Ravis
Arbitrator(s): Laura A. Kaster
Hearing Site: Philadelphia, PA
| | Dismissed by Rule 12504 |
| 20-03291 | 02/25/2022 | Claimant(s): Robert Refice IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Gordon M. Wase, Kathleen Jones Spilker, Joseph Patrick Murphy
Hearing Site: Philadelphia, PA
| | Expungement |
