| 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 |
| 21-03049 | 04/11/2022 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Gretchen Mary Wallace
Respondent Lawyers(s): Gretchen Mary Thies Wallace
Arbitrator(s): Jim Geiger
Hearing Site: Providence, RI
| | |
| 21-00716 | 03/14/2022 | Claimant(s): Kevin McRae
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citizens Securities.
Respondent Lawyers(s): Amy M. McCallen
Arbitrator(s): Robert E. Anderson
Hearing Site: Providence, RI
| | |
| 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 |
| 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 |
| 21-01064 | 11/22/2021 | Claimant(s): Molly Rambo
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Robert E. Anderson
Hearing Site: Providence, RI
| | |
| 20-01594 | 09/20/2021 | Claimant(s): Brandon Cheshier
Claimant Lawyers(s): Danilo Borgas
Respondent(s): Citizens Securities.
Respondent Lawyers(s): Brenna Anatone Force
Arbitrator(s): Jim Geiger, Robert L. Chase, John C Solomon
Hearing Site: Providence, RI
| | |
