| 20-00612 | 11/06/2020 | Claimant(s): Adam Rorrer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Patricia H. Latham
Hearing Site: Washington, DC
| | |
| 20-00725 | 09/21/2020 | Claimant(s): John Girouard
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Richard Kuhlman
Arbitrator(s): Patricia H. Latham
Hearing Site: Washington, DC
| | |
| 19-02717 | 06/10/2020 | Claimant(s): Scott Shulman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Anthony Paduano
Arbitrator(s): Patricia H. Latham
Hearing Site: Washington, DC
| | |
| 19-03699 | 05/28/2020 | Claimant(s): Keith Kepley
Claimant Lawyers(s): Russ Ferguson
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Patricia H. Latham
Hearing Site: Charlotte, NC
| | |
| 19-00008 | 05/31/2019 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Michael E. Rowe
Respondent(s): Robert Stiles
Respondent Lawyers(s): Robert Louis Stiles
Arbitrator(s): Patricia H. Latham
Hearing Site: Charlotte, NC
| | |
| 17-01664 | 07/16/2018 | Claimant(s): Anna Wilczynski, Anna U. Wilczynski Liviing Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Aegis Capital Corp., Capitol Securities Management.
Respondent Lawyers(s): Gary A. Varnavides, Janet K. DeCosta
Arbitrator(s): David Paul Clark, Patricia H. Latham, Keith Daniel Greenberg
Hearing Site: Washington, DC
|  | Dismissed by Rule 12206 |
| 13-00039 | 06/19/2018 | Claimant(s): Estate of Marion M. Young, Estate of Seymour R. Young, The Young Family Trust
Claimant Lawyers(s): Ford C. Ladd
Respondent(s): Christopher Cunningham, Wells Fargo Advisors, Fulcrum Securities
Respondent Lawyers(s): Andrew R. Park, Christopher Matthew Cunningham, William P. Behrens
Arbitrator(s): David Paul Clark, Carl William Noller, Patricia H. Latham
Hearing Site: Washington, DC
| | $127,000 |
| 17-02972 | 04/24/2018 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Andrew Park
Respondent(s): Heath Harris
Respondent Lawyers(s): Heath Justin Harris
Arbitrator(s): Patricia H. Latham
Hearing Site: Washington, DC
| | |
| 16-03619 | 09/29/2017 | Claimant(s): Tamra Amakwe (Dicus)
Claimant Lawyers(s): Tamra L. Amakwe (Dicus)
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Patricia H. Latham
Hearing Site: Washington, DC
| | $0 |
| 10-04705 | 06/29/2012 | Claimant(s): Samar Ghadry
Claimant Lawyers(s): Stephen W Nichols
Respondent(s): Penson Financial Services.
Respondent Lawyers(s): Jeremy D. Schildcrout
Arbitrator(s): Walter Peterson, Jerome Nelson, Patricia H. Latham
Hearing Site: Washington, DC
| | $0 |
