| 19-02867 | 04/05/2021 | Claimant(s): Michael Reis
Claimant Lawyers(s): Sheilah R. McLaughlin
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): John D. Stewart
Arbitrator(s): Michael L. Lyons, Gregory Hunter Mathews, John J. Mager
Hearing Site: Augusta, ME
| | |
| 20-01369 | 12/09/2020 | Claimant(s): Lee Abrahamsen, Robert Abrahamsen, Robert Abrahamsen SER IRA
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Zachary Bader
Respondent Lawyers(s): Zachary T. Bader
Arbitrator(s): Catherine M. Gallagher
Hearing Site: Augusta, ME
|  | $132,986 |
| 20-00803 | 10/30/2020 | Claimant(s): Thomas Shepard
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Richard W. Dissen
Hearing Site: Augusta, ME
| | |
| 20-00128 | 08/11/2020 | Claimant(s): Harold Youngren
Claimant Lawyers(s): Steven G. Legum
Respondent(s): John Parmigiani, Matthew Meehan, Robert Costomiris, Allied Millennial Partners
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): John James McGovern
Hearing Site: Augusta, ME
| | $300 |
| 18-03717 | 05/23/2019 | Claimant(s): Paul Garber
Claimant Lawyers(s): Hilton Wiener
Respondent(s): James Schwartz, Aegis Capital Corp.
Respondent Lawyers(s): James Bradley Schwartz, Michael P. Gilmore
Arbitrator(s): Richard W. Dissen
Hearing Site: Augusta, ME
| | $300 |
| 17-03289 | 02/12/2019 | Claimant(s): Jessica Russell
Claimant Lawyers(s): John E Sutherland
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Ronald L. Cheney, Susan M. Thevenet, Peter L. Murray
Hearing Site: Augusta, ME
| | Expungement |
| 18-01066 | 10/26/2018 | Claimant(s): Lee Abrahamsen, Robert Abrahamsen
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Edward Beyn
Respondent Lawyers(s): Edward Beyn
Arbitrator(s): John Edward Sylvester
Hearing Site: Augusta, ME
| | $50,000 |
| 15-02104 | 03/07/2018 | Claimant(s): Lee Abrahamsen, Robert Abrahamsen, Robert Abrahamsen SER IRA, Robert & Lee Abrahamsen JTWROS
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Joseph Ninivaggi, Craig Scott Capital
Respondent Lawyers(s): Craig Taddonio, Joseph Ninivaggi
Arbitrator(s): Jim Geiger, Gregory Hunter Mathews, Peter L. Murray
Hearing Site: Augusta, ME
| | $65,000 |
| 17-02057 | 12/29/2017 | Claimant(s): Lee Abrahamsen, Robert Abrahamsen
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Brent Porges
Respondent Lawyers(s): Brent Morgan Porges
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Augusta, ME
| | $131,347 |
| 16-00696 | 11/07/2017 | Claimant(s): Helen Robillard, Robert Robillard, Robert E. Robillard CGM Custodian
Claimant Lawyers(s): Charlene E. Philbrook
Respondent(s): Morgan Stanley, James Olson, The Breakwater Group
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): B. John Dill
Hearing Site: Augusta, ME
| | $0 |
