| 13-00364 | 03/17/2015 | Claimant(s): The Donald J. Adams Trust
Claimant Lawyers(s): J. Ray Ayers
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Bank of America, N.A.
Respondent Lawyers(s): Ronald D. Smith
Arbitrator(s): Laurel Littman Gothelf, Seymour A. Kolman, Edwin John Apenbrink
Hearing Site: Las Vegas, NV
|  | Expungement |
| 13-03606 | 11/04/2014 | Claimant(s): CCO Investment Services Corp., RBS Citizens, N.A.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Thomas Kelly
Respondent Lawyers(s): Andrew Laird
Arbitrator(s): Rafael A. Porrata-Doria, Fred M. Fleisher, David F. Griesing
Hearing Site: Philadelphia, PA
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| 11-04237 | 10/13/2014 | Claimant(s): James Mahan
Claimant Lawyers(s): Sean C. Domnick
Respondent(s): Banc of America Investment Services, Bank of America, N.A.
Respondent Lawyers(s): Gregory J Trask, Peter W. Homer
Arbitrator(s): Jonathan H. Parker, Jeffrey R. Roth, Shobha Bangalore Nagaprasanna
Hearing Site: Miami, FL
| | $0 |
| 11-04800 | 08/25/2014 | Claimant(s): Edward Chiappara
Claimant Lawyers(s): John D. Singer
Respondent(s): Deutsche Bank Trust Company, N.A.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Melanie S. Cherdack, Marie Paulette Levine, Jeffrey R. Roth
Hearing Site: Miami, FL
| | |
| 12-02244 | 06/03/2014 | Claimant(s): Joseph Ellison
Claimant Lawyers(s): James A. Sigler
Respondent(s): J.P. Morgan Securities, JPMorgan Chase Bank, N.A.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Richard M. Norman, Robert Edward Koondel, George Herman Frisch
Hearing Site: Los Angeles, CA
| | |
| 12-00137 | 02/21/2014 | Claimant(s): CCO Investment Services Corp., RBS Citizens, N.A.
Claimant Lawyers(s): Christine R. Fitzgerald
Respondent(s): Douglas McDermott
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): John J. Jordan, John T. Hausladen, Kenneth D. Morris
Hearing Site: Philadelphia, PA
| | |
| 12-02827 | 10/28/2013 | Claimant(s): CCO Investment Services Corp., RBS Citizens, N.A.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Stacie Weber, Steven Tetens, Janney Montgomery Scott LLC
Respondent Lawyers(s): Christopher Stief, David K. Silverberg
Arbitrator(s): Stuart M. Schwartz, Sheldon Dinowitz, Steven C. Kempisty
Hearing Site: Albany, NY
| | |
| 12-01840 | 10/24/2013 | Claimant(s): Rose Mary Schemel
Claimant Lawyers(s): Julia K. Munley
Respondent(s): Nicholas Polito, PNC Bank, N.A., PNC Investments
Respondent Lawyers(s): Brian A. Carlis, Nicholas John Polito
Arbitrator(s): Rochelle K. Kaplan, Donald S. Bauman, Arthur Peter Bedrosian
Hearing Site: Philadelphia, PA
| | $0 |
| 13-01002 | 06/03/2013 | Claimant(s): CCO Investment Services Corp., RBS Citizens, N.A.
Claimant Lawyers(s): David Belcher
Respondent(s): Fifth Third Securities., Nathan Bartow
Respondent Lawyers(s): Edmond J. Mack, Marion H. Little
Arbitrator(s): Jason C. Blackford, Mitchell B. Goldberg, James E. Zimmerman
Hearing Site: Cleveland, OH
| | |
| 11-01669 | 01/28/2013 | Claimant(s): J.P. Morgan Securities, JPMorgan Chase Bank, N.A.
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Sean Gorman, Thomas Lillard
Respondent Lawyers(s): Bradley D. Hergott, Simon J Hill
Arbitrator(s): Roger B. Johnston, Philip J. Glick, Seymour Andrew Newman
Hearing Site: Chicago, IL
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