| 23-02651 | 04/01/2024 | Claimant(s): James Goodwin
Claimant Lawyers(s): James J. Goodwin
Respondent(s): Interactive Brokers Corp., Interactive Brokers LLC
Respondent Lawyers(s): Katherine L. Schuerman
Arbitrator(s): B. John Dill
Hearing Site: Providence, RI
|  | $44,327 |
| 22-01661 | 06/29/2023 | Claimant(s): Benjamin Rampe
Claimant Lawyers(s): Benjamin Rampe
Respondent(s): Fidelity Brokerage Services LLC, Fidelity Management Trust Company
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Samuel H. Chorches, John M. D'Amico, David S. Godkin
Hearing Site: Providence, RI
| | $440 |
| 21-00419 | 06/05/2023 | Claimant(s): Robert Simonian
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Irit Walters
Arbitrator(s): Catherine Stewart
Hearing Site: Providence, RI
| | Expungement |
| 22-01166 | 06/05/2023 | Claimant(s): Timothy Hladik
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Edward W. Morris, Peter M Cosel, Jud Perkins
Hearing Site: Providence, RI
| | Dissmissed by Rule 12206/12504 |
| 20-03646 | 04/07/2023 | Claimant(s): John Kruk, Kruk Joint Revocable Trust UAD 1-30-17
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Brian Megley, Cetera Advisors LLC
Respondent Lawyers(s): Michael Schwartzberg
Arbitrator(s): Jim Geiger, Diane Ciccone, Jeremy M. Bloomenthal
Hearing Site: Providence, RI
| | Expungement |
| 20-03899 | 12/30/2022 | Claimant(s): Cranston Fire & Police Dept Pension Plan
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Mary C. Kelleher, John James McGovern, Patrick R. Westerkamp
Hearing Site: Providence, RI
| | Expungement |
| 21-02361 | 12/08/2022 | Claimant(s): Jill McLoughlin, Jody Hall, Joyce Rosenthal, Judy Richardson, Shirlee R. Rosenthal Irrev. R.E. Trust
Claimant Lawyers(s): Stacey P. Nakasian
Respondent(s): Charles White, Wilson Saville, Barrett & Company
Respondent Lawyers(s): Peter F. Flynn
Arbitrator(s): Carol Di Natale, Nicholas Trott Long, John C Solomon
Hearing Site: Providence, RI
| | $534,397 |
| 21-00178 | 06/09/2022 | Claimant(s): Paul Sweet IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Samuel H. Chorches
Hearing Site: Providence, RI
| | Expungement |
| 21-00876 | 06/09/2022 | Claimant(s): Renee Danho, MRM Realty, Denis E. Vachon Trust, Georgette A. Vachon Trust
Claimant Lawyers(s): Stacey P. Nakasian
Respondent(s): Charles White, II, Wilson Saville, Barrett & Company
Respondent Lawyers(s): Peter F. Flynn
Arbitrator(s): Diane Ciccone, Vincent Vina, Gabrielle Labonte
Hearing Site: Providence, RI
| | $341,300 |
| 20-01561 | 02/24/2022 | Claimant(s): George Stelljes
Claimant Lawyers(s): Jason E. Tauches
Respondent(s): Christopher Lopez, Forrest Jones
Respondent Lawyers(s): Christopher Knight Lopez, Forrest Jones
Arbitrator(s): Henry R. Oppenheimer, Robert L. Chase, Robert E. Anderson
Hearing Site: Providence, RI
| | $200,000 |
