| 23-02144 | 10/24/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Frank J. Cuccio
Respondent(s): Linda Borst
Respondent Lawyers(s): Matthew J. Klieger
Arbitrator(s): Edward W. Morris, Lorrie E Whitfield, Miki Herrick
Hearing Site: New York, NY
| | |
| 20-00994 | 01/31/2024 | Claimant(s): Adam Kaplan, Daniel Kaplan
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Amy Goldstein Sessa, Jonathan Sessa, Jordana Sessa
Respondent Lawyers(s): Anthony Paduano
Arbitrator(s): Bernard Lieberman, John Berton, Lorrie E Whitfield
Hearing Site: New York, NY
|  | $100,000 |
| 22-02304 | 10/12/2023 | Claimant(s): Joel Swartz, Germantown Imaging Associates
Claimant Lawyers(s): Joel D. Swartz
Respondent(s): Erik Snyder, Fidelity Brokerage Services LLC, Rich Hargis
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Lorrie E Whitfield
Hearing Site: Philadelphia, PA
| | $0 |
| 20-03910 | 12/23/2022 | Claimant(s): Diane Pomponio
Claimant Lawyers(s): Diane Pomponio
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Cheryl H. Agris, Lorrie E Whitfield, John Warner Lowe
Hearing Site: New York, NY
| | Expungement |
| 21-02996 | 11/04/2022 | Claimant(s): Sameh Elmazahy
Claimant Lawyers(s): Christopher D. Warren
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Charlton Young
Arbitrator(s): Bryan Lane Berson, Lorrie E Whitfield, Lynda Kommel-Browne
Hearing Site: New York, NY
| | |
| 21-01004 | 06/09/2022 | Claimant(s): William McCormack
Claimant Lawyers(s): Robert V. Cornish
Respondent(s): Eric Seeley
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Philip S. Cottone, Gregory J. Spadea, Lorrie E Whitfield
Hearing Site: Philadelphia, PA
| | |
| 21-02522 | 04/19/2022 | Claimant(s): Ayobande Omomo
Claimant Lawyers(s): James P. Galvin
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Emma M. Tomsick
Arbitrator(s): Lorrie E Whitfield, Abigail R. Levy, Louis M. Lagalante
Hearing Site: New York, NY
| | |
| 20-03680 | 02/14/2022 | Claimant(s): Thomas Spires
Claimant Lawyers(s): Larry M. Keller
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Shannon L.C. Ammon
Arbitrator(s): Lorrie E Whitfield, Barry Allen Wells, Jaclyn Senior Brown
Hearing Site: Philadelphia, PA
| | |
| 19-01247 | 12/22/2021 | Claimant(s): Steven Mastrovich
Claimant Lawyers(s): Jonathan Sack
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Carl W. Mills
Arbitrator(s): Thomas Caiaffa, Adam B. Lass, Lorrie E Whitfield
Hearing Site: New York, NY
| | |
| 21-00357 | 12/01/2021 | 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): Frank P. Santangelo, Robert C. Scanlan, Lorrie E Whitfield
Hearing Site: Philadelphia, PA
| | |
