| 23-00534 | 09/30/2024 | Claimant(s): Robert Thomas
Claimant Lawyers(s): Michael Bessette
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Gregg J. Brietbart
Arbitrator(s): Frederick W. Keuthen, Robert L. Chase, John James McGovern
Hearing Site: Augusta, ME
| | |
| 23-01890 | 05/02/2024 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Erico Galvez, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrea Peraner-Sweet, Rachael L. Carp
Arbitrator(s): Robert L. Chase, David J. Kaufman, David S. Godkin
Hearing Site: Augusta, ME
| | |
| 23-00627 | 01/22/2024 | Claimant(s): Barbara Violette
Claimant Lawyers(s): Barbara A. Violette
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Catherine Stewart
Hearing Site: Augusta, ME
|  | $0 |
| 23-01153 | 12/26/2023 | Claimant(s): Securities America.
Claimant Lawyers(s): Justin Sacca
Respondent(s): Robert Thomas
Respondent Lawyers(s): Robert A. Thomas
Arbitrator(s): Edward W. Morris
Hearing Site: Augusta, ME
| | |
| 23-00815 | 09/29/2023 | Claimant(s): Nathan Macdonald
Claimant Lawyers(s): Samuel E. Cohen
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Samuel H. Chorches, Howard N. Gorney, John Francis Markuns
Hearing Site: Augusta, ME
| | |
| 21-02847 | 10/25/2022 | Claimant(s): Sean Barker
Claimant Lawyers(s): Alexander Darr
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Frank Cuccio
Arbitrator(s): Samuel H. Chorches, John W. Eichleay, Edward W. Morris
Hearing Site: Augusta, ME
| | $0 |
| 22-01074 | 10/07/2022 | Claimant(s): Gregory Violette
Claimant Lawyers(s): Gregory Paul Violette
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Jonathan J. Brennan
Arbitrator(s): Denise L. Presley
Hearing Site: Augusta, ME
| | $0 |
| 20-02471 | 08/24/2022 | Claimant(s): Matthew Arbo
Claimant Lawyers(s): Robert G. Heim
Respondent(s): ProEquities.
Respondent Lawyers(s): Stephen C. Jackson
Arbitrator(s): Dallas Whitney Coffman, Richard W. Dissen, William Norton
Hearing Site: Augusta, ME
| | |
| 20-02177 | 11/30/2021 | Claimant(s): Kim Reynolds
Claimant Lawyers(s): Kim Reynolds
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): William A. Barrett, William Norton, Michael A. Orticelle
Hearing Site: Augusta, ME
| | $0 |
| 21-00459 | 09/30/2021 | Claimant(s): France David
Claimant Lawyers(s): Yves David
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Bryan Ward
Arbitrator(s): Ronald L. Cheney, Patrick W. McKeon, John James McGovern
Hearing Site: Augusta, ME
| | Dismissed by Rule 12504 |
