22-00176 | 02/17/2023 | Claimant(s): Douglas Kobak Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): Citigroup Global Markets., Coastal Equities. Respondent Lawyers(s): Adam Kauff, Francis J. Skinner Arbitrator(s): Fred W. Miller, Buzz Adelman, Kathleen Jones Spilker Hearing Site: Philadelphia, PA
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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 |
21-00356 | 09/15/2021 | Claimant(s): Thomas Seiler Claimant Lawyers(s): Benjamin J. Biard Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Laura A Pizzitola Arbitrator(s): John J. Jordan, Thomas Naylor, Kathleen Jones Spilker Hearing Site: Philadelphia, PA
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17-02942 | 11/06/2019 | Claimant(s): Jerome Weiner, Sandra Weiner Claimant Lawyers(s): Jerome Weiner Respondent(s): Janney Montgomery Scott LLC Respondent Lawyers(s): Paula D. Shaffner Arbitrator(s): Jim Geiger, Alan J. Blocher, Kathleen Jones Spilker Hearing Site: Philadelphia, PA
| | $0 |
17-02620 | 12/05/2018 | Claimant(s): Dorothy Pariot, Dorothy H. Pariot Living Trust Claimant Lawyers(s): Seth E Lipner Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Andrew Gelfand Arbitrator(s): Doris J. Dabrowski, Louis P. Wagman, Kathleen Jones Spilker Hearing Site: Philadelphia, PA
| | $0 |
13-02251 | 01/05/2015 | Claimant(s): Thomas Bradley, Thomas Bradley IRA Claimant Lawyers(s): Dan A. Druz Respondent(s): Timothy Ennis, Janney Montgomery Scott LLC Respondent Lawyers(s): Julie E. Ravis Arbitrator(s): Elizabeth A. McKinney, Michael P. Marryshow, Kathleen Jones Spilker Hearing Site: Philadelphia, PA
| | $0 |
13-03054 | 12/30/2014 | Claimant(s): Wayne Lewis Claimant Lawyers(s): Wayne R. Lewis Respondent(s): Ameriprise Financial Services., Lawrence Van Ollefen Respondent Lawyers(s): Susan E. Sheely Arbitrator(s): Steven T. Stern, Louis P. Wagman, Kathleen Jones Spilker Hearing Site: Philadelphia, PA
| | $0 |