| 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
| | |
| 18-02273 | 08/10/2021 | Claimant(s): Thomas Devane
Claimant Lawyers(s): James Halter
Respondent(s): Joseph Gawronski, Vikas Shah, Rosenblatt Securities Inc., Rossoff & Co. LLC
Respondent Lawyers(s): Andrew J. Goodman, Kate E. DiGeronimo
Arbitrator(s): Terrance J. Nolan, Keith Roberts, Clive I. Morrick
Hearing Site: New York, NY
| | |
| 19-00567 | 12/03/2020 | Claimant(s): Peter Radle
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Mark Kemp, National Planning Corporation
Respondent Lawyers(s): Kate E. DiGeronimo
Arbitrator(s): Gordon M. Wase, Thomas Warfield Harrity, Douglas Cheston Berlin
Hearing Site: Philadelphia, PA
|  | Dismissed |
| 18-01194 | 11/15/2018 | Claimant(s): Kevin Gildner, Shawn Derrick, Commonwealth Financial Network
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Invest Financial Corporation
Respondent Lawyers(s): Kate E. DiGeronimo
Arbitrator(s): Jeffry M. Bauer, Michael P. Hennigan, Clifford C. Rohde
Hearing Site: Buffalo, NY
| | |
| 15-01395 | 08/10/2016 | Claimant(s): Thomas Suchocki
Claimant Lawyers(s): Raymond J. Zane
Respondent(s): Scott Wiese, Sun National Bank, Invest Financial Corporation
Respondent Lawyers(s): Barry Temkin, James A. Kellar, Kate E. DiGeronimo
Arbitrator(s): Steven T. Stern, Timothy C Russell, Mary Jane Walk
Hearing Site: Philadelphia, PA
| | $0 |
| 15-00443 | 07/11/2016 | Claimant(s): Barbara Bond, Roger Bond, Barbara J. Bond IRA, Roger K. Bond IRA, Barbara J. Bond Trust dtd 10/23/2006, Roger K. Bond Trust dtd 10/23/2006
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Frederick Baerenz
Respondent Lawyers(s): Kate E. DiGeronimo
Arbitrator(s): Mary E. Woytek, Emily Eiselman Hunter, Walter Peterson
Hearing Site: Washington, DC
| | $331,000 |
| 14-00418 | 03/16/2015 | Claimant(s): Dorothy Aukofer
Claimant Lawyers(s): John P. Connolly
Respondent(s): Frederick Baerenz, AOG Wealth Management, Cetera Advisors LLC, Pacific West Securities.
Respondent Lawyers(s): Joseph D. Edmondson, Jr, Kate E. DiGeronimo, Shanon Ford
Arbitrator(s): Kevin D. Judd, Christopher M. McMurray, Stephen D. Altman
Hearing Site: Washington, DC
| | $0 |
| 13-01564 | 02/09/2015 | Claimant(s): Michael Kealy
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Harvey Fuchs, MML Investors Services
Respondent Lawyers(s): Julie E. Ravis, Kate E. DiGeronimo
Arbitrator(s): Cheryl H. Agris, Andrew J. Gerber, Brian Lawrence Berlandi
Hearing Site: New York, NY
| | Expungement |
| 12-02908 | 01/16/2014 | Claimant(s): Colleen Bailey, Ronald Bailey
Claimant Lawyers(s): Michael Hill
Respondent(s): Josh Jalinski, TFS Securities.
Respondent Lawyers(s): Kate E. DiGeronimo, Russell S. Burnside
Arbitrator(s): Roslyn G. Pollack
Hearing Site: Philadelphia, PA
| | Expungement |
| 12-03484 | 06/04/2013 | Claimant(s): Meghan Rodgers
Claimant Lawyers(s): W. Scott Greco
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Kate E. DiGeronimo
Arbitrator(s): Christopher M. McMurray
Hearing Site: Washington, DC
| | $300 |
