| 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
| | |
| 22-02791 | 01/22/2024 | Claimant(s): Thomas Curtin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Robert L. Chase
Hearing Site: Hartford, CT
| | |
| 18-00229 | 07/28/2022 | Claimant(s): Estate of Elaine Falcigno
Claimant Lawyers(s): Edmund Polubinski
Respondent(s): Frederick Mueller, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Robert L. Chase, John J. Mager, April C. Teveris
Hearing Site: Hartford, CT
|  | $0 |
| 20-01561 | 02/24/2022 | Claimant(s): George Stelljes
Claimant Lawyers(s): Jason E. Tauches
Respondent(s): Christopher Lopez, Forrest Jones
Respondent Lawyers(s): Christopher Knight Lopez, Forrest Jones
Arbitrator(s): Henry R. Oppenheimer, Robert L. Chase, Robert E. Anderson
Hearing Site: Providence, RI
| | $200,000 |
| 20-01594 | 09/20/2021 | Claimant(s): Brandon Cheshier
Claimant Lawyers(s): Danilo Borgas
Respondent(s): Citizens Securities.
Respondent Lawyers(s): Brenna Anatone Force
Arbitrator(s): Jim Geiger, Robert L. Chase, John C Solomon
Hearing Site: Providence, RI
| | |
| 19-00372 | 08/23/2021 | Claimant(s): Joao Lopes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Robert L. Chase
Hearing Site: Manchester, NH
| | |
| 19-01044 | 02/17/2021 | Claimant(s): Shawna Mead
Claimant Lawyers(s): Shawna Danette Mead
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Robert L. Chase, Robert M. Singer, Karen Kim
Hearing Site: Hartford, CT
| | |
| 18-03020 | 06/15/2020 | Claimant(s): R.S.S. McKosky, Tatyana McKosky
Claimant Lawyers(s): Richard Freeth
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Jeffrey D. Hedlund
Arbitrator(s): Robert L. Chase, Edward S. Hill, Anna Jacobs Griffith
Hearing Site: Hartford, CT
| | Dismissed by Rule 12206/12504 |
| 18-00710 | 06/08/2020 | Claimant(s): Julius Pasqualoni, Sheri Pasqualoni
Claimant Lawyers(s): Sabato P Fiano
Respondent(s): David Ivanovich Jr., John Campeau, UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Robert L. Chase, April C. Teveris, Jeremy Gray Zimmermann
Hearing Site: Hartford, CT
| | $0 |
