Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 11-04745 | 05/16/2012 | Claimant(s): Brian Rutherford Claimant Lawyers(s): Brian J Rutherford Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Nickolas F. Monteforte Hearing Site: Providence, RI |  | $0 |
| 09-06118 | 07/05/2011 | Claimant(s): Diane LeBoeuf Claimant Lawyers(s): Fred S. Clark Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Philip Weber Respondent Lawyers(s): David E. Bamberger Arbitrator(s): Gerard S. Marsan Hearing Site: Providence, RI | | Stipulated Award and Expungement |
| 11-00048 | 06/20/2011 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Mike Naccarato Respondent(s): Joan Gerhardt Respondent Lawyers(s): Joan Gerhardt Arbitrator(s): Robert J. Ambrogi Hearing Site: Providence, RI | | $0 |
| 09-03998 | 03/09/2010 | Claimant(s): Vincent Pisaturo Claimant Lawyers(s): Vincent Pisaturo Respondent(s): Janney Montgomery Scott LLC Respondent Lawyers(s): Fotini A. Antoniadis Arbitrator(s): Tom L. Peterson Hearing Site: Providence, RI | | $0 |
| 09-01242 | 09/01/2009 | Claimant(s): Edward Gaul Claimant Lawyers(s): Edward Gaul Respondent(s): Bruce Balkcom, Investors Capital Corp. Respondent Lawyers(s): James A. McGovern Arbitrator(s): Stanley H. Labinger Hearing Site: Providence, RI | | $12,713 |
| 08-00487 | 10/23/2008 | Claimant(s): Mark Christofaro Claimant Lawyers(s): Pamela E. Berman Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): John Bersin Arbitrator(s): Dennis C. Cronin, Michael P. Anciello, Arnold M. Marrow Hearing Site: Providence, RI | | $0 |
| 07-00281 | 08/29/2008 | Claimant(s): Ronald Gilman Claimant Lawyers(s): David Gaba Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): Shea O'Brien Hicks Arbitrator(s): Chesley Oriel, Joseph J. Slotnik, Andrew J. Tine Hearing Site: Providence, RI | | $106,000 |