| 12-01070 | 11/26/2013 | Claimant(s): Gregory Vallee
Claimant Lawyers(s): Jesse S. Angeley
Respondent(s): CCO Investment Services Corp.
Respondent Lawyers(s): Christine R. Fitzgerald
Arbitrator(s): Ronald L. Cheney, Mary C. Kelleher, Edward Joseph Boudreau
Hearing Site: Manchester, NH
| | |
| 13-00229 | 07/31/2013 | Claimant(s): Ronald Agel
Claimant Lawyers(s): Ronald Agel
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Ronald L. Cheney
Hearing Site: Boston, MA
|  | $0 |
| 12-00288 | 05/01/2013 | Claimant(s): Robert Fenyk
Claimant Lawyers(s): Norman E. Watts
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Ronald L. Cheney, Susan E. Maloney, Morton S. Bunis
Hearing Site: Boston, MA
| | |
| 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 |
| 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
| | |
| 10-00521 | 04/08/2011 | Claimant(s): The City of Burlington, Vermont
Claimant Lawyers(s): Jerome Schlichter
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Bradford D. Kaufman
Arbitrator(s): Ronald L. Cheney, B. J. Krintzman, Guy T. Mango
Hearing Site: Montpelier, VT
| | Expungement |
| 08-02899 | 03/17/2009 | Claimant(s): Irene O'Mara
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Theodore Snyder
Arbitrator(s): Ronald L. Cheney, Melinda S. Milberg, Norman Foxman
Hearing Site: Manchester, NH
| | $0 |
| 05-04863 | 10/09/2007 | Claimant(s): Anne McCarver
Claimant Lawyers(s): Catherine A. Sammartino
Respondent(s): Brian Katz, Citigroup Global Markets., Joseph DeNeault
Respondent Lawyers(s): Sarah G. Kim
Arbitrator(s): Ronald L. Cheney, John Klinetob, Jeffrey L. Levy
Hearing Site: Providence, RI
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