| 23-01397 | 05/16/2024 | Claimant(s): Liliana Molina
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Spire Securities
Respondent Lawyers(s): Feisal A. Malik
Arbitrator(s): Patricia H. Latham
Hearing Site: Washington, DC
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| 23-01470 | 05/09/2024 | Claimant(s): Roshan Loungani
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Arete Wealth Management
Respondent Lawyers(s): Bob Chung
Arbitrator(s): Patricia H. Latham
Hearing Site: Washington, DC
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| 23-03044 | 03/12/2024 | Claimant(s): Daniel Egbert, Toria Scotto
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Patricia H. Latham
Hearing Site: Washington, DC
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| 20-00554 | 09/28/2023 | Claimant(s): Brenda Blisk, Spire Investment Partners, Spire Securities, Spire Wealth Management
Claimant Lawyers(s): Matthew C. Plant
Respondent(s): Cecile Hult, Dianne Nolin, Eric Ashburn, Joseph Gallemore, Argent Bridge Advisors
Respondent Lawyers(s): Kate E. DiGeronimo
Arbitrator(s): Patricia H. Latham, Jonathan Edward Levine, Jay N. Lazrus
Hearing Site: Washington, DC
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| 22-01549 | 04/07/2023 | Claimant(s): Kelly Campbell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, Equitable Advisors
Respondent Lawyers(s): Michael J. Biondi, Rochelle Mayfield
Arbitrator(s): Patricia H. Latham
Hearing Site: Washington, DC
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| 22-00534 | 07/14/2022 | Claimant(s): Beatriz Luna Vida
Claimant Lawyers(s): David I. Hantman
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Jorge I. Peirats
Arbitrator(s): Patricia H. Latham
Hearing Site: Washington, DC
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| 22-00359 | 05/13/2022 | Claimant(s): Roderick Von Lipsey
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Patricia H. Latham
Hearing Site: Washington, DC
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| 20-02627 | 05/09/2022 | Claimant(s): Gregory Swindall
Claimant Lawyers(s): Fred B. Monroe
Respondent(s): W&S Brokerage Services.
Respondent Lawyers(s): Nicholas A. Charles
Arbitrator(s): Patricia H. Latham, James Howell Garrison, Norman Lee Gunn
Hearing Site: Charlotte, NC
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| 21-01257 | 03/11/2022 | Claimant(s): Michael Bolen
Claimant Lawyers(s): James P. Galvin
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Charlton Young
Arbitrator(s): Douglas Earl McLaren, Patricia H. Latham, Thomas David Hudak
Hearing Site: Washington, DC
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| 20-03804 | 07/19/2021 | Claimant(s): Jonathan Short
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Patricia H. Latham
Hearing Site: Charlotte, NC
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