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FINRA Awards for Providence, RI

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Displaying 11-20 out of 33 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0171511/06/2020Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Nicola A. Murphy
Respondent(s): John Ginsbury
Respondent Lawyers(s): John Ginsbury
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Providence, RI
19-0122512/04/2019Claimant(s): James Worrell
Claimant Lawyers(s): Erica Harris
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): David J. Lehr
Arbitrator(s): Robert E. Anderson
Hearing Site: Providence, RI
19-0087811/25/2019Claimant(s): Danny Bullock
Claimant Lawyers(s): John M. Verdecchia
Respondent(s): Signator Investors.
Respondent Lawyers(s): Gregory M. Curely
Arbitrator(s): Paul A. Auerbach, Patrick R. Westerkamp, Michael Jonathan Chazan
Hearing Site: Providence, RI
19-0061807/05/2019Claimant(s): Citizens Securities.
Claimant Lawyers(s): Stuart D. Roberts
Respondent(s): Nelson Amparo
Respondent Lawyers(s): Nelson Alejandro Amparo
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Providence, RI
18-0038006/24/2019Claimant(s): Jeffrey Boudjouk
Claimant Lawyers(s): Jeffrey L. Levy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Mary C. Kelleher, Robert E. Anderson, Nicholas Trott Long
Hearing Site: Providence, RI
18-0278712/11/2018Claimant(s): Marisa Pollard
Claimant Lawyers(s): Kurt T. Kalberer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Samuel H. Chorches
Hearing Site: Providence, RI
17-0071809/20/2018Claimant(s): NYLife Securities LLC, New York Life Insurance Company
Claimant Lawyers(s): Richard F. Lubarsky
Respondent(s): Jonathan Ayer, Karley Carto, Luis Decastro
Respondent Lawyers(s): Barton E. Centauro, Richard F. Lubarsky
Arbitrator(s): Patrick R. Westerkamp, Karen Kupersmith, Michael Jonathan Chazan
Hearing Site: Providence, RI
17-0319208/06/2018Claimant(s): Michael Damon
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Christen Leah Casale
Arbitrator(s): Jim Geiger
Hearing Site: Providence, RI
17-0267203/15/2018Claimant(s): Beth Murray
Claimant Lawyers(s): William Preston Martin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Robert E. Anderson
Hearing Site: Providence, RI
15-0163001/07/2016Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Christopher Baughan
Respondent Lawyers(s): Christopher Mark Baughan
Arbitrator(s): John Francis Markuns
Hearing Site: Providence, RI

33 Results

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