Potomac Analytics' Logo

FINRA Awards for Roland M. Cavalier

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 2 out of 2 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0436105/25/2012Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Holdings, LL
Claimant Lawyers(s): Joe Gehring
Respondent(s): Wells Fargo Advisors, Douglas Carnahan, Lawrence King, Sandra Butler
Respondent Lawyers(s): James E. Heavey, Joe Gehring, Scott C. Paton
Arbitrator(s): Edward Baer, Roland M. Cavalier, Michael A. Orticelle
Hearing Site: Albany, NY
06-0412511/27/2007Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Mercadante
Respondent Lawyers(s): Michael Mercadante
Arbitrator(s): James J. Brearton, Roland M. Cavalier, Ruth A. Ihne
Hearing Site: Albany, NY

2 Results

Display: