| 14-03406 | 06/04/2015 | Claimant(s): David Reiser, Robert Dicolo
Claimant Lawyers(s): David Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Providence, RI
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| 12-01867 | 11/07/2013 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Megan Christensen
Respondent(s): Stephen Alves
Respondent Lawyers(s): Stephen David Alves
Arbitrator(s): Robert V. Deiana
Hearing Site: Providence, RI
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| 13-00721 | 08/28/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ken S. Massey
Respondent(s): Michael Jilling
Respondent Lawyers(s): Michael Jilling
Arbitrator(s): Kelly M. Lonergan
Hearing Site: Providence, RI
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| 12-01551 | 11/27/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Nathan Carvalho
Respondent Lawyers(s): Nathan A Carvalho
Arbitrator(s): Richard J. Grahn
Hearing Site: Providence, RI
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| 12-00096 | 04/27/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): David J. Sullivan
Respondent(s): Nicole Domnarski
Respondent Lawyers(s): Nicole Catherine Domnarski
Arbitrator(s): Sandor I. Rabkin
Hearing Site: Providence, RI
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| 11-02061 | 03/23/2012 | Claimant(s): Denis Thibeault, Paul Torti
Claimant Lawyers(s): Denis Emery Thibeault, Paul J. Torti
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Francis X. Dee
Arbitrator(s): Missy Daboul Margolis, John Manning Herr, Evalyn Lipton Fishbein
Hearing Site: Providence, RI
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| 09-01276 | 05/25/2011 | Claimant(s): Vito Vitone
Claimant Lawyers(s): William M. Kolb
Respondent(s): Ian Gerrior, Kevin Beaulieu, Richard Beaulieu, Signator Investors.
Respondent Lawyers(s): Michael J. Murphy, Sara E. Sweeney, Sheri L Pizzi
Arbitrator(s): B. J. Krintzman, Laura M. Nelson, Paul A. Auerbach
Hearing Site: Providence, RI
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| 09-06537 | 07/15/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Steven Lawton
Respondent Lawyers(s): Steven Michael Lawton
Arbitrator(s): Ernest Fanwick
Hearing Site: Providence, RI
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| 09-07045 | 06/24/2010 | Claimant(s): A.G. Edwards & Sons.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): David Stern
Respondent Lawyers(s): David C. Stern
Arbitrator(s): William I. Carmen
Hearing Site: Providence, RI
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| 07-01200 | 09/02/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Wade Contney
Respondent Lawyers(s): Wade Contney
Arbitrator(s): Paul G. Cuomo, John Joseph Cotter, James J. Gadarowski
Hearing Site: Providence, RI
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