| 23-00534 | 09/30/2024 | Claimant(s): Robert Thomas
Claimant Lawyers(s): Michael Bessette
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Gregg J. Brietbart
Arbitrator(s): Frederick W. Keuthen, Robert L. Chase, John James McGovern
Hearing Site: Augusta, ME
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| 23-01890 | 05/02/2024 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Erico Galvez, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrea Peraner-Sweet, Rachael L. Carp
Arbitrator(s): Robert L. Chase, David J. Kaufman, David S. Godkin
Hearing Site: Augusta, ME
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| 23-01153 | 12/26/2023 | Claimant(s): Securities America.
Claimant Lawyers(s): Justin Sacca
Respondent(s): Robert Thomas
Respondent Lawyers(s): Robert A. Thomas
Arbitrator(s): Edward W. Morris
Hearing Site: Augusta, ME
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| 23-00815 | 09/29/2023 | Claimant(s): Nathan Macdonald
Claimant Lawyers(s): Samuel E. Cohen
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Samuel H. Chorches, Howard N. Gorney, John Francis Markuns
Hearing Site: Augusta, ME
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| 20-02471 | 08/24/2022 | Claimant(s): Matthew Arbo
Claimant Lawyers(s): Robert G. Heim
Respondent(s): ProEquities.
Respondent Lawyers(s): Stephen C. Jackson
Arbitrator(s): Dallas Whitney Coffman, Richard W. Dissen, William Norton
Hearing Site: Augusta, ME
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| 19-02867 | 04/05/2021 | Claimant(s): Michael Reis
Claimant Lawyers(s): Sheilah R. McLaughlin
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): John D. Stewart
Arbitrator(s): Michael L. Lyons, Gregory Hunter Mathews, John J. Mager
Hearing Site: Augusta, ME
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| 20-00803 | 10/30/2020 | Claimant(s): Thomas Shepard
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Richard W. Dissen
Hearing Site: Augusta, ME
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| 17-00442 | 10/18/2017 | Claimant(s): James Bradley
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Voya Financial Partners
Respondent Lawyers(s): Michelle Rosenberg
Arbitrator(s): Samuel H. Chorches
Hearing Site: Augusta, ME
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| 12-01787 | 07/22/2014 | Claimant(s): April Ylvisaker
Claimant Lawyers(s): Gary Menzer
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Kelli Hartsook
Arbitrator(s): Valerie Ann Roche, June Y. Kilmarx, William Norton
Hearing Site: Augusta, ME
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| 09-01681 | 11/30/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Bernard Cerrone
Respondent Lawyers(s): Bernard John Cerrone
Arbitrator(s): Christine Armstrong, Michael L. Letendre, John B. Dew
Hearing Site: Augusta, ME
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