| 21-00550 | 01/25/2022 | Claimant(s): Betsy Sachs
Claimant Lawyers(s): Betsy Sachs
Respondent(s): James Mckenna, Whitney Boucher
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Paul A. Auerbach, Thomas M. Madden, Mark Andrew Helman
Hearing Site: Providence, RI
|  | Dismissed by Rule 12504 |
| 18-00156 | 10/24/2018 | Claimant(s): Elizabeth Cleary
Claimant Lawyers(s): Michael Vigorito
Respondent(s): Berthel, Fisher & Company Financial Ser.
Respondent Lawyers(s): Peter J. McElligott
Arbitrator(s): B. John Dill, Paul A. Auerbach, Peter Andrew Marx
Hearing Site: Boston, MA
| | $0 |
| 15-02045 | 09/22/2016 | Claimant(s): Anthony DiRuzzo, Theresa DiRuzzo
Claimant Lawyers(s): Anthony J. DiRuzzo
Respondent(s): Tiaa-cref Individual & Institutional Ser
Respondent Lawyers(s): Scott N. Sherman
Arbitrator(s): Diane Ciccone, Paul A. Auerbach, Thomas Matthew Madden
Hearing Site: Providence, RI
| | $0 |
| 15-02778 | 08/17/2016 | Claimant(s): James Ross
Claimant Lawyers(s): James E. Ross
Respondent(s): Edward Queenan, Guido Sarcione, New England Securities, Ronald Ware, Metlife Securities Inc., Valmark Securities., Wealth Impact Partners
Respondent Lawyers(s): Brian Palmeri, David L. Ward, Penelope Taylor
Arbitrator(s): Paul A. Auerbach
Hearing Site: Providence, RI
| | $300 |
| 15-02676 | 06/06/2016 | Claimant(s): McDaniel Family Trust
Claimant Lawyers(s): Janice April McDaniel
Respondent(s): Barry Armstrong, Brendan Hayes, Securities America., Paul Parsons, Susan Powers
Respondent Lawyers(s): John K. Wells
Arbitrator(s): Paul A. Auerbach
Hearing Site: Boston, MA
| | Dismissed by Rule 12504 |
| 14-00755 | 05/24/2016 | Claimant(s): Kiranya Tipirneni, Prabhakar Tipirneni
Claimant Lawyers(s): Stacey P. Nakasian
Respondent(s): Charles White, Wilson Saville, Barrett & Company
Respondent Lawyers(s): David A. Conti
Arbitrator(s): Gerard S. Marsan, Paul A. Auerbach, Amy Lampert
Hearing Site: Providence, RI
| | $267,890 |
| 13-02989 | 07/16/2014 | Claimant(s): Gregory Robertson
Claimant Lawyers(s): Gregory A. Robertson
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Paul A. Auerbach
Hearing Site: Providence, RI
| | $300 |
| 11-03987 | 08/14/2013 | Claimant(s): Cathleen Waugh, Christopher Waugh
Claimant Lawyers(s): Philip M. Giordano
Respondent(s): Gregory Friel, Russell Wasendorf
Respondent Lawyers(s): Richard Freeth, Russell R. Wasendorf
Arbitrator(s): Sandor I. Rabkin, Gene M. Bauer, Paul A. Auerbach
Hearing Site: Boston, MA
| | $70,000 |
