| 22-02759 | 09/19/2023 | Claimant(s): Brad Martin
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): MML Investors Services
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Louis H Miron
Hearing Site: Montpelier, VT
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| 21-00897 | 10/20/2021 | Claimant(s): Thomas Cosinuke
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Robert E. Anderson
Hearing Site: Montpelier, VT
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| 20-03076 | 03/25/2021 | Claimant(s): Jason Oleet
Claimant Lawyers(s): Brian Luther
Respondent(s): Oleet Securities
Respondent Lawyers(s): Jason Oleet
Arbitrator(s): Douglas M. Branson
Hearing Site: Montpelier, VT
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| 20-02408 | 03/11/2021 | Claimant(s): GEORGE EWINS, RICHARD KOWALSKI
Claimant Lawyers(s): Robert J. Moses
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert Rudnicki
Arbitrator(s): Louis H Miron
Hearing Site: Montpelier, VT
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| 20-01872 | 11/25/2020 | Claimant(s): David Maher
Claimant Lawyers(s): David Joseph Maher
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Julius Z. Frager
Hearing Site: Montpelier, VT
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| 18-01495 | 10/22/2018 | Claimant(s): Denise Palmer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Steven T. Stern
Hearing Site: Montpelier, VT
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| 13-00988 | 06/16/2014 | Claimant(s): Michael Bombardier
Claimant Lawyers(s): Christine E. Goodrich
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Courtney R. Reid
Arbitrator(s): Robert H. Watts, Nickolas F. Monteforte, Joseph Charles Kennedy
Hearing Site: Montpelier, VT
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| 12-00053 | 10/18/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John Michael Riordan
Respondent(s): Brett Stickney
Respondent Lawyers(s): John R. Kiefner
Arbitrator(s): Louis H. Miron, Frank E. Wolf, Jacqueline Marie Pierre
Hearing Site: Montpelier, VT
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| 12-01246 | 08/14/2013 | Claimant(s): Michael French
Claimant Lawyers(s): John L. Franco
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Eric D. Jones
Arbitrator(s): Louis H. Miron, Albert J. Cirone, Patrick W. McKeon
Hearing Site: Montpelier, VT
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| 09-00524 | 11/26/2012 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Len Weintraub
Respondent(s): Katherine Traver, RBC Capital Markets Corporation
Respondent Lawyers(s): Eric D. Brandfonbrener
Arbitrator(s): Ronald L. Cheney, Robert J. Ambrogi, Philip S. Wellman
Hearing Site: Montpelier, VT
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