| 18-01495 | 10/22/2018 | Claimant(s): Denise Palmer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Steven T. Stern
Hearing Site: Montpelier, VT
| | |
| 14-03446 | 06/03/2016 | Claimant(s): Marie Cabral
Claimant Lawyers(s): Marie Cabral
Respondent(s): Wells Fargo Advisors, James Connors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Robert Titus, Stephen Z. Frank, Jeffrey S. Troderman
Hearing Site: Montpelier, VT
|  | Expungement |
| 13-03766 | 10/02/2015 | Claimant(s): Ann Cole
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Sandra Gale Behrle, Frank E. Wolf, William M Peters
Hearing Site: Montpelier, VT
| | Expungement |
| 13-00988 | 06/16/2014 | Claimant(s): Michael Bombardier
Claimant Lawyers(s): Christine E. Goodrich
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Courtney R. Reid
Arbitrator(s): Robert H. Watts, Nickolas F. Monteforte, Joseph Charles Kennedy
Hearing Site: Montpelier, VT
| | |
| 12-00053 | 10/18/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John Michael Riordan
Respondent(s): Brett Stickney
Respondent Lawyers(s): John R. Kiefner
Arbitrator(s): Louis H. Miron, Frank E. Wolf, Jacqueline Marie Pierre
Hearing Site: Montpelier, VT
| | |
| 12-01246 | 08/14/2013 | Claimant(s): Michael French
Claimant Lawyers(s): John L. Franco
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Eric D. Jones
Arbitrator(s): Louis H. Miron, Albert J. Cirone, Patrick W. McKeon
Hearing Site: Montpelier, VT
| | |
| 11-00303 | 06/03/2013 | Claimant(s): John Paul Rouleau & Margaret C. Rouleau
Claimant Lawyers(s): John F. Nicholls
Respondent(s): Wells Fargo Advisors, David Johns
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Samuel H. Chorches, Frank E. Wolf, Patrick W. McKeon
Hearing Site: Montpelier, VT
| | $0 |
| 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
| | |
| 10-02869 | 11/14/2011 | Claimant(s): Paula Fives-Taylor
Claimant Lawyers(s): Chad N. Cagan
Respondent(s): Charles DinklageL Financial LLC, AXA Advisors
Respondent Lawyers(s): Brian J. Palmeri, Eilott R Good
Arbitrator(s): Elizabeth K. Norsworthy, Albert J. Cirone, Jack B. Golden
Hearing Site: Montpelier, VT
| | Expungement |
