23-03035 | 07/09/2024 | Claimant(s): Curt Caserta, Lee Duckworth, Peter Alofsin Claimant Lawyers(s): Eric A. Bensky Respondent(s): Triad Advisors LLC, Kestra Investment Services Respondent Lawyers(s): Jennifer R. Cox, Lydia R. Zaidman Arbitrator(s): Maya Steinitz Hearing Site: Providence, RI
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23-02900 | 05/14/2024 | Claimant(s): James Crosson Claimant Lawyers(s): William Bean Respondent(s): LPL Financial LLC, Investors Capital Corp., Voya Financial Advisors. Respondent Lawyers(s): Brian J. Palmeri, David Feldstein, Kelsey L. Vasko Arbitrator(s): Sean Alan D'Amico Hearing Site: Providence, RI
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23-02633 | 01/18/2024 | Claimant(s): Robert Procaccianti Claimant Lawyers(s): David I. Hantman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): Maya Steinitz Hearing Site: Providence, RI
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22-00892 | 04/13/2023 | Claimant(s): Joseph Crespi Claimant Lawyers(s): Michael Bessette Respondent(s): Advest., Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Laura A. Pizzitola Arbitrator(s): Howard N. Gorney Hearing Site: Providence, RI
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22-00678 | 02/21/2023 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Scott A. LaPorta Respondent(s): Kenneth Schaefer Respondent Lawyers(s): Kenneth Gerard Schaefer Arbitrator(s): Peter Svorinic, John James McGovern, Jud Perkins Hearing Site: Providence, RI
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21-03049 | 04/11/2022 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing Claimant Lawyers(s): Alan S. Brodherson Respondent(s): Gretchen Mary Wallace Respondent Lawyers(s): Gretchen Mary Thies Wallace Arbitrator(s): Jim Geiger Hearing Site: Providence, RI
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21-00716 | 03/14/2022 | Claimant(s): Kevin McRae Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Citizens Securities. Respondent Lawyers(s): Amy M. McCallen Arbitrator(s): Robert E. Anderson Hearing Site: Providence, RI
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21-01064 | 11/22/2021 | Claimant(s): Molly Rambo Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Waddell & Reed Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Robert E. Anderson Hearing Site: Providence, RI
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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
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20-01368 | 03/12/2021 | Claimant(s): Erin Murphy Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Patrick R. Westerkamp Hearing Site: Providence, RI
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