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FINRA Awards for Providence, RI

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Displaying 10 out of 33 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0303507/09/2024Claimant(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
23-0290005/14/2024Claimant(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
23-0263301/18/2024Claimant(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
22-0089204/13/2023Claimant(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
22-0067802/21/2023Claimant(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
21-0304904/11/2022Claimant(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
21-0071603/14/2022Claimant(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
21-0106411/22/2021Claimant(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
20-0159409/20/2021Claimant(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
20-0136803/12/2021Claimant(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

33 Results

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