17-00776 | 11/06/2018 | Claimant(s): Ellen Scherer Claimant Lawyers(s): Debra G. Speyer Respondent(s): Martin Leclerc, Barrack Yark Advisors, Coastal Equities., Trade-PMR Inc. Respondent Lawyers(s): Dana Gloor, Samuel E. Cohen Arbitrator(s): Gordon M. Wase, Ronald P. Wertheim, Richard M. Rosenbleeth Hearing Site: Philadelphia, PA
| | Expungement |
17-02636 | 07/23/2018 | Claimant(s): Jason Scheurer Claimant Lawyers(s): Michael Bessette Respondent(s): Wells Fargo Clearing Services, First Union Brokerage Services., Infinex Investments. Respondent Lawyers(s): Demian J. Betz, Gregg Breitbart Arbitrator(s): Gordon M. Wase Hearing Site: Philadelphia, PA
| | |
17-00997 | 07/17/2018 | Claimant(s): John Williams Claimant Lawyers(s): Ann K. Sullivan Respondent(s): Mark Stanley, Michael Matthews, Next Financial Group. Respondent Lawyers(s): Todd Ratner Arbitrator(s): Robert H. Putnam, Gordon M. Wase, Donald B. Katz Hearing Site: Norfolk, VA
| | $60,000 |
16-02423 | 07/10/2018 | Claimant(s): Victor Novelli Claimant Lawyers(s): Raymond J Falzone Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): T.R. Bynum Arbitrator(s): Gordon M. Wase, George Aleman, Timothy Nolan Donahue Hearing Site: Philadelphia, PA
| | Expungement |
16-00815 | 05/02/2018 | Claimant(s): Nicholas Monaghan Claimant Lawyers(s): Andrew J. Levin Respondent(s): Morgan Stanley, Citigroup Global Markets., John Graff Respondent Lawyers(s): Jeremy S. Winer, John Robert Graff Arbitrator(s): Gordon M. Wase, William W. Lowe, Paul Albert Bechtel Hearing Site: Philadelphia, PA
| | $0 |
16-03009 | 10/18/2017 | Claimant(s): Elizabeth Gallucci Claimant Lawyers(s): Dennis Boyle Respondent(s): Frank Kelly, HD Vest Investment Services Respondent Lawyers(s): Rob Moses Arbitrator(s): Gordon M. Wase Hearing Site: Baltimore, MD
| | $0 |
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 |
16-00443 | 11/03/2016 | Claimant(s): The Atle Fjeld and Kirsten Fjeld joint L Claimant Lawyers(s): Atle Fjeld Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Philip A. McLeod Arbitrator(s): Cornelius C. Clancy, Gordon M. Wase, Frank P. Santangelo Hearing Site: Philadelphia, PA
| | $10,000 |
14-02356 | 05/31/2016 | Claimant(s): Janice Levy Claimant Lawyers(s): Deborah R. Gross Respondent(s): Wells Fargo Advisors, Kevin Larkin Respondent Lawyers(s): Alan S. Rafterman Arbitrator(s): Gordon M. Wase, Fred M. Fleisher, Catherine Stewart Hearing Site: Philadelphia, PA
| | $0 |
13-02607 | 11/12/2015 | Claimant(s): Chris Saporito Claimant Lawyers(s): Jeffrey Steinbrecher Respondent(s): TD Ameritrade. Respondent Lawyers(s): Miles D. Hart Arbitrator(s): Gordon M. Wase, Fred M. Fleisher, Donald Saunders Litman Hearing Site: Philadelphia, PA
| | $0 |