| 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
| | |
| 21-01174 | 10/26/2021 | Claimant(s): TD Ameritrade.
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Konstantinos Pagiazitis
Respondent Lawyers(s): Matthew C. Plant
Arbitrator(s): Howard J. Stiefel
Hearing Site: New York, NY
| | |
| 18-00333 | 10/09/2018 | Claimant(s): Melanie Folstad
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Matthew C. Plant
Arbitrator(s): Jane C. Carney
Hearing Site: Washington, DC
| | |
| 18-01003 | 08/27/2018 | Claimant(s): Randall Sandstrom
Claimant Lawyers(s): Paul J. Bazil
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Matthew C. Plant
Arbitrator(s): Olivia Milbank Farrar
Hearing Site: Washington, DC
| | |
| 14-01056 | 06/28/2018 | Claimant(s): Wilfredo Alvarez
Claimant Lawyers(s): Renato Barrios
Respondent(s): Ibrahim Arce, UBS Financial Services Inc., UBS Financial Services Inc. of PR
Respondent Lawyers(s): Matthew C. Plant, Roberto C. Quinones-Rivera
Arbitrator(s): Jan Glenn Valecka, Edward R. Niederriter, Chris J. Conanan
Hearing Site: San Juan, PR
|  | $0 |
| 14-02122 | 05/22/2017 | Claimant(s): Aida Mancini, Conchita Rivera, Joaqmar.
Claimant Lawyers(s): Francisco Pujol, Harold D. Vicente-Colon
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Frank J. Cuccio, Matthew C. Plant
Arbitrator(s): Monroe Mitchel, Keith L. Saunders, Robert Stewart Barney
Hearing Site: San Juan, PR
| | Expungement |
| 14-01511 | 03/23/2017 | Claimant(s): Irving Vega Baez, Lourdes Anadon
Claimant Lawyers(s): Eliezer A. Aldarondo-Lopez, Jeffrey Erez
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Matthew C. Plant, Roberto C. Quinones
Arbitrator(s): Daniel E. Gulden, Will Murphy, Robert J. Gregory
Hearing Site: San Juan, PR
| | Expungement |
| 14-00048 | 11/06/2014 | Claimant(s): Robert Loftus
Claimant Lawyers(s): Robert E. Loftus
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Matthew C. Plant
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
| | |
| 10-05635 | 04/16/2013 | Claimant(s): Dennis Lowery, James Vaughn, Robert Cancellieri
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Matthew C. Plant
Arbitrator(s): Fred S. Pieroni, Jacob Aschkenasy, Douglas S. Abel
Hearing Site: New York, NY
| | Expungement |
| 11-00753 | 06/15/2012 | Claimant(s): William Heinzerling
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Matthew C. Plant
Arbitrator(s): Romaine L. Gardner, Abigail J. Pessen, Maya Steinitz
Hearing Site: New York, NY
| | $0 |
