Potomac Analytics' Logo

FINRA Awards for Providence, RI

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

Filter by:

Sort by:

Displaying 10 out of 70 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0303507/09/2024Claimant(s): Curt Caserta, Lee Duckworth, Peter Alofsin
Claimant Lawyers(s): Eric A. Bensky
Respondent(s): Triad Advisors LLC, Kestra Investment Services
Respondent Lawyers(s): Jennifer R. Cox, Lydia R. Zaidman
Arbitrator(s): Maya Steinitz
Hearing Site: Providence, RI
23-0290005/14/2024Claimant(s): James Crosson
Claimant Lawyers(s): William Bean
Respondent(s): LPL Financial LLC, Investors Capital Corp., Voya Financial Advisors.
Respondent Lawyers(s): Brian J. Palmeri, David Feldstein, Kelsey L. Vasko
Arbitrator(s): Sean Alan D'Amico
Hearing Site: Providence, RI
23-0265104/01/2024Claimant(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
Checkmark Icon$44,327
23-0263301/18/2024Claimant(s): Robert Procaccianti
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Maya Steinitz
Hearing Site: Providence, RI
22-0166106/29/2023Claimant(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
Checkmark Icon$440
21-0041906/05/2023Claimant(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
Checkmark IconExpungement
22-0116606/05/2023Claimant(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
Checkmark IconDissmissed by Rule 12206/12504
22-0089204/13/2023Claimant(s): Joseph Crespi
Claimant Lawyers(s): Michael Bessette
Respondent(s): Advest., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Howard N. Gorney
Hearing Site: Providence, RI
20-0364604/07/2023Claimant(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
Checkmark IconExpungement
22-0067802/21/2023Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Scott A. LaPorta
Respondent(s): Kenneth Schaefer
Respondent Lawyers(s): Kenneth Gerard Schaefer
Arbitrator(s): Peter Svorinic, John James McGovern, Jud Perkins
Hearing Site: Providence, RI

70 Results

Display: