| 19-00145 | 05/09/2019 | Claimant(s): Sugam Vasani
Claimant Lawyers(s): Sugam Vasani
Respondent(s): Robinhood Financial, Robinhood Securities
Respondent Lawyers(s): Scott I. Friedman, Scott Friedman
Arbitrator(s): John James McGovern
Hearing Site: Pittsburgh, PA
|  | $22,570 |
| 18-03361 | 03/26/2019 | Claimant(s): Anthony Gambone
Claimant Lawyers(s): Anthony Michael Gambone
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): John James McGovern
Hearing Site: Wilmington, DE
| | |
| 17-02774 | 02/20/2019 | Claimant(s): Dennis Francy
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Alexander Gorchakov, Nelson Felix, Wilfredo Felix, Primex
Respondent Lawyers(s): Alexander Gorchakov, Michael D. Handelsman
Arbitrator(s): Richard E. Lauziere, Ezio Borchini, John James McGovern
Hearing Site: Baltimore, MD
| | $72,896 |
| 16-03692 | 04/10/2018 | Claimant(s): Robert Hill
Claimant Lawyers(s): Adam Weinstein
Respondent(s): Todd Crawford, Capital City Securities
Respondent Lawyers(s): Dennis J. Concilla
Arbitrator(s): Edward Blumstein, John James McGovern, James T. Carney
Hearing Site: Pittsburgh, PA
| | Expungement |
| 16-00972 | 09/25/2017 | Claimant(s): John Patterson, Stella Patterson, John Patterson and Stella Patterson
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Ladenburg Thalmann & Co. Inc.
Respondent Lawyers(s): Michael D. Handelsman
Arbitrator(s): Gordon M. Wase, Kathleen K. Murphy, John James McGovern
Hearing Site: Philadelphia, PA
| | $358,200 |
| 15-00774 | 12/15/2016 | Claimant(s): George Farr, David P. Farr 2008 Revocable Trust, George I. Farr Revocable Trust, George I. Farr 2011 Irrevocable Trust, Judith A. Farr Revocable Trust, Norene Farr 2008 Revocable Trust
Claimant Lawyers(s): Peter R. Pendergast
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Eugene Tenenbaum, Sharon L. Monroe, John James McGovern
Hearing Site: Manchester, NH
| | Expungement |
| 14-03667 | 08/11/2015 | Claimant(s): Joseph Horn
Claimant Lawyers(s): Joseph Horn
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Kelli Hartsook
Arbitrator(s): John James McGovern
Hearing Site: Philadelphia, PA
| | $0 |
| 13-00267 | 12/30/2014 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David Belcher
Respondent(s): Timothy Trifeletti
Respondent Lawyers(s): Timothy Trifeletti
Arbitrator(s): Alan J. Blocher, Noel B. Berman, John James McGovern
Hearing Site: Philadelphia, PA
| | |
| 13-02195 | 12/09/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Nicholas Perugino
Respondent Lawyers(s): Nicholas L. Perugino
Arbitrator(s): John James McGovern
Hearing Site: Wilmington, DE
| | |
| 12-02233 | 10/03/2013 | Claimant(s): John De Felice, Joseph De Felice
Claimant Lawyers(s): Vincent J. Imbesi
Respondent(s): Raymond, James & Associates., Michael Napolitano
Respondent Lawyers(s): Kelli Hartsook
Arbitrator(s): John James McGovern
Hearing Site: Philadelphia, PA
| | $0 |
