| 13-02827 | 04/09/2014 | Claimant(s): Bruce Jagolinzer
Claimant Lawyers(s): Bruce Martin Jagolinzer
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Samuel H. Chorches
Hearing Site: Augusta, ME
|  | $25 |
| 11-02790 | 02/25/2014 | Claimant(s): Regina Coppens, as Trustee of the Regina
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Susan George
Arbitrator(s): Shari B. Broder
Hearing Site: Augusta, ME
| | Expungement |
| 12-01256 | 01/13/2014 | Claimant(s): Julie Amergian
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Robert S. Hark, Christopher C. Gorski, Peter L. Murray
Hearing Site: Augusta, ME
| | Expungement |
| 13-01145 | 01/13/2014 | Claimant(s): Jane Haskell
Claimant Lawyers(s): Joseph L. Goodman
Respondent(s): Cantella & Co.., Harborview Investments
Respondent Lawyers(s): Darly T. Stong, William M. Beaudoin
Arbitrator(s): Nickolas F. Monteforte
Hearing Site: Augusta, ME
| | $4,552 |
| 11-04063 | 05/24/2013 | Claimant(s): Steven Mink
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Augusta, ME
| | Expungement |
| 12-03595 | 04/09/2013 | Claimant(s): Catherine Haas
Claimant Lawyers(s): Catherine Haas
Respondent(s): Ameriprise Financial Services., John Hughes
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Alun Hywel Jones
Hearing Site: Augusta, ME
| | $19,879 |
| 09-06801 | 10/28/2010 | Claimant(s): Charles LaBay, Patricia LaBay
Claimant Lawyers(s): Elliott L. Epstein
Respondent(s): Paul Ligor
Respondent Lawyers(s): Richard L. Barrett
Arbitrator(s): Richard J. Grahn, Thomas J. Donoghue, Michael Dell'Olio
Hearing Site: Augusta, ME
| | $1,000,000 |
| 08-04123 | 06/08/2010 | Claimant(s): Scott Thayer
Claimant Lawyers(s): Elliott L. Epstein
Respondent(s): Richard Liberty, Commonwealth Financial Network
Respondent Lawyers(s): Steven L. Manchel
Arbitrator(s): Mary C. Kelleher, Jack A. Marshall, Shari B. Broder
Hearing Site: Augusta, ME
| | $0 |
| 07-02598 | 03/31/2009 | Claimant(s): David Chotkowski
Claimant Lawyers(s): David D. Chotkowski
Respondent(s): RBC Dain Rauscher.
Respondent Lawyers(s): Patrick J. Howley
Arbitrator(s): David Plimpton, Ruth-Ellen Post, Jacqueline Marie Pierre
Hearing Site: Augusta, ME
| | Stipulated Award |
| 06-03323 | 07/14/2008 | Claimant(s): Geoffrey Minte
Claimant Lawyers(s): Michael Huberman
Respondent(s): Renos Gordos
Respondent Lawyers(s): Norman B. Arnoff
Arbitrator(s): Barton B. Skeen, Deborah B. Haskell, Darman A. Wing
Hearing Site: Augusta, ME
| | $0 |
