| 23-00047 | 12/06/2023 | Claimant(s): Tastyworks.
Claimant Lawyers(s): Thomas G. Haskins
Respondent(s): Mehran Khavarian
Respondent Lawyers(s): Mehran Khavarian
Arbitrator(s): Richard W. Dissen
Hearing Site: Montpelier, VT
|  | $0 |
| 19-03510 | 08/28/2023 | Claimant(s): Thatcher J. Fields Gift Trust
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Louis H Miron, Julius Z. Frager, Bruce Arthur Blessington
Hearing Site: Montpelier, VT
| | Expungement |
| 20-02550 | 03/23/2021 | Claimant(s): Craig Bloxham, Craig G. Bloxham & Deborah Bloxham Joint
Claimant Lawyers(s): Craig G. Bloxham
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Edward W. Morris
Hearing Site: Montpelier, VT
| | $16,753 |
| 20-00430 | 11/06/2020 | Claimant(s): Pamela Pratico
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Louis Olave, Questar Capital Corporation
Respondent Lawyers(s): Christopher T. Roach, Mark S. Enslin
Arbitrator(s): Louis H Miron
Hearing Site: Montpelier, VT
| | $24,299 |
| 18-03605 | 08/23/2019 | Claimant(s): Mary Harger
Claimant Lawyers(s): Victor J. Segale
Respondent(s): Collin Fingon, Cetera Advisors LLC
Respondent Lawyers(s): Steven N. Fuller
Arbitrator(s): John James McGovern
Hearing Site: Montpelier, VT
| | $0 |
| 14-03446 | 06/03/2016 | Claimant(s): Marie Cabral
Claimant Lawyers(s): Marie Cabral
Respondent(s): Wells Fargo Advisors, James Connors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Robert Titus, Stephen Z. Frank, Jeffrey S. Troderman
Hearing Site: Montpelier, VT
| | Expungement |
| 13-03766 | 10/02/2015 | Claimant(s): Ann Cole
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Sandra Gale Behrle, Frank E. Wolf, William M Peters
Hearing Site: Montpelier, VT
| | Expungement |
| 11-00303 | 06/03/2013 | Claimant(s): John Paul Rouleau & Margaret C. Rouleau
Claimant Lawyers(s): John F. Nicholls
Respondent(s): Wells Fargo Advisors, David Johns
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Samuel H. Chorches, Frank E. Wolf, Patrick W. McKeon
Hearing Site: Montpelier, VT
| | $0 |
| 12-01663 | 01/07/2013 | Claimant(s): Neal Graham
Claimant Lawyers(s): Neal Graham
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Ronald L. Cheney
Hearing Site: Montpelier, VT
| | $0 |
| 10-02869 | 11/14/2011 | Claimant(s): Paula Fives-Taylor
Claimant Lawyers(s): Chad N. Cagan
Respondent(s): Charles DinklageL Financial LLC, AXA Advisors
Respondent Lawyers(s): Brian J. Palmeri, Eilott R Good
Arbitrator(s): Elizabeth K. Norsworthy, Albert J. Cirone, Jack B. Golden
Hearing Site: Montpelier, VT
| | Expungement |
