| 23-00386 | 08/02/2024 | Claimant(s): Steward Partners Investment Solutions
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Colton Jacob
Respondent Lawyers(s): Robert E. Linkin
Arbitrator(s): Maryanne M. Esser
Hearing Site: Houston, TX
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| 23-00384 | 07/24/2024 | Claimant(s): Steward Partners Investment Solutions
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Vincent Fuchs
Respondent Lawyers(s): Robert E. Linkin
Arbitrator(s): Maryanne M. Esser
Hearing Site: Houston, TX
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| 23-02195 | 03/13/2024 | Claimant(s): Sarah Dodd
Claimant Lawyers(s): Sarah Brooke Dodd
Respondent(s): Bobby Brown, Raymond James Financial Services.
Respondent Lawyers(s): Bruce W. Barnes
Arbitrator(s): Maryanne M. Esser, Janet M. Thompson, Heath O. Lauseng
Hearing Site: Little Rock, AR
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| 22-01682 | 06/30/2023 | Claimant(s): Stephen Caton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Maryanne M. Esser
Hearing Site: Houston, TX
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| 22-00654 | 04/28/2023 | Claimant(s): Troy Stine
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): A. G. Edwards & Sons., Cetera Advisor Networks LLC
Respondent Lawyers(s): David Feldstein, Deirdre Wolff
Arbitrator(s): Maryanne M. Esser, Irving Sylvester Moses, Stuart Diamond
Hearing Site: Houston, TX
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| 22-00877 | 02/10/2023 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Timothy D Gronewold
Respondent(s): Christine Dormier
Respondent Lawyers(s): Christine Tan Dormier
Arbitrator(s): Maryanne M. Esser
Hearing Site: Houston, TX
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| 21-02175 | 04/29/2022 | Claimant(s): Michael Neuenschwander
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): G.F. Investment Services
Respondent Lawyers(s): Larry Yager
Arbitrator(s): Maryanne M. Esser
Hearing Site: Houston, TX
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| 21-01025 | 08/09/2021 | Claimant(s): James Garner
Claimant Lawyers(s): Bryan Ward
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Paul M. Foster, Maryanne M. Esser, Allan R. Lazor
Hearing Site: Little Rock, AR
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| 17-02114 | 01/10/2018 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): James Mackey
Respondent Lawyers(s): James Lee Mackey
Arbitrator(s): Maryanne M. Esser
Hearing Site: Little Rock, AR
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| 17-02195 | 11/17/2017 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Michael Grisaffi
Respondent Lawyers(s): Michael Anthony Grisaffi
Arbitrator(s): Maryanne M. Esser
Hearing Site: Houston, TX
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