23-00386 | 08/02/2024 | Claimant(s): Steward Partners Investment Solutions Claimant Lawyers(s): Michael T. Roche Respondent(s): Colton Jacob Respondent Lawyers(s): Robert E. Linkin Arbitrator(s): Maryanne M. Esser Hearing Site: Houston, TX
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23-00384 | 07/24/2024 | Claimant(s): Steward Partners Investment Solutions Claimant Lawyers(s): Michael T. Roche Respondent(s): Vincent Fuchs Respondent Lawyers(s): Robert E. Linkin Arbitrator(s): Maryanne M. Esser Hearing Site: Houston, TX
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23-00256 | 06/21/2024 | Claimant(s): Maria Cristina Donnelly Claimant Lawyers(s): David Cook Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Justin Opitz Arbitrator(s): Sherry R. Wetsch, Maryanne M. Esser, Allan R. Lazor Hearing Site: Houston, TX
| | $0 |
23-02195 | 03/13/2024 | Claimant(s): Sarah Dodd Claimant Lawyers(s): Sarah Brooke Dodd Respondent(s): Bobby Brown, Raymond James Financial Services. Respondent Lawyers(s): Bruce W. Barnes Arbitrator(s): Maryanne M. Esser, Janet M. Thompson, Heath O. Lauseng Hearing Site: Little Rock, AR
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20-04216 | 01/05/2024 | Claimant(s): Kent Bonvillain, Whitney Guidry Claimant Lawyers(s): Kevin Conway Respondent(s): Raymond James & Associates. Respondent Lawyers(s): George C. Freeman Arbitrator(s): Maryanne M. Esser, Chris W. Surprenant, William John Sommers Hearing Site: New Orleans, LA
| | $15,000 |
22-01682 | 06/30/2023 | Claimant(s): Stephen Caton Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Katelyn H. Wilson Arbitrator(s): Maryanne M. Esser Hearing Site: Houston, TX
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22-00654 | 04/28/2023 | Claimant(s): Troy Stine Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): A. G. Edwards & Sons., Cetera Advisor Networks LLC Respondent Lawyers(s): David Feldstein, Deirdre Wolff Arbitrator(s): Maryanne M. Esser, Irving Sylvester Moses, Stuart Diamond Hearing Site: Houston, TX
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22-00877 | 02/10/2023 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp. Claimant Lawyers(s): Timothy D Gronewold Respondent(s): Christine Dormier Respondent Lawyers(s): Christine Tan Dormier Arbitrator(s): Maryanne M. Esser Hearing Site: Houston, TX
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22-00493 | 11/07/2022 | Claimant(s): Brian Birkes Claimant Lawyers(s): Brian C. Birkes Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Maryanne M. Esser Hearing Site: Little Rock, AR
| | $4,371 |
21-02175 | 04/29/2022 | Claimant(s): Michael Neuenschwander Claimant Lawyers(s): Dochtor Kennedy Respondent(s): G.F. Investment Services Respondent Lawyers(s): Larry Yager Arbitrator(s): Maryanne M. Esser Hearing Site: Houston, TX
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