| 19-03548 | 06/22/2021 | Claimant(s): Jefferson Davis
Claimant Lawyers(s): Thomas P. Willcutts
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anya N. Thepot
Arbitrator(s): Samuel H. Chorches
Hearing Site: Providence, RI
|  | $0 |
| 20-01368 | 03/12/2021 | Claimant(s): Erin Murphy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Providence, RI
| | |
| 20-03541 | 02/24/2021 | Claimant(s): Peter Nalewajk
Claimant Lawyers(s): Peter Nalewajk
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Robert Titus
Hearing Site: Providence, RI
| | $2,228 |
| 20-01715 | 11/06/2020 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Nicola A. Murphy
Respondent(s): John Ginsbury
Respondent Lawyers(s): John Ginsbury
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Providence, RI
| | |
| 19-01432 | 03/23/2020 | Claimant(s): Ann DeQuattro
Claimant Lawyers(s): Stacey P. Nakasian
Respondent(s): Gregory Dudzik, Steven Pitassi, Janney Montgomery Scott LLC
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): James R. Collins, Karen Kupersmith, Nicholas Trott Long
Hearing Site: Providence, RI
| | $125,000 |
| 19-01225 | 12/04/2019 | Claimant(s): James Worrell
Claimant Lawyers(s): Erica Harris
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): David J. Lehr
Arbitrator(s): Robert E. Anderson
Hearing Site: Providence, RI
| | |
| 19-00878 | 11/25/2019 | Claimant(s): Danny Bullock
Claimant Lawyers(s): John M. Verdecchia
Respondent(s): Signator Investors.
Respondent Lawyers(s): Gregory M. Curely
Arbitrator(s): Paul A. Auerbach, Patrick R. Westerkamp, Michael Jonathan Chazan
Hearing Site: Providence, RI
| | |
| 19-00954 | 10/04/2019 | Claimant(s): Neal Latino
Claimant Lawyers(s): Lars Soreide
Respondent(s): Joseph Orlando, First Standard Financial Company
Respondent Lawyers(s): Craig A. Riha
Arbitrator(s): Abraham Harry Bunis
Hearing Site: Providence, RI
| | $0 |
| 19-00618 | 07/05/2019 | Claimant(s): Citizens Securities.
Claimant Lawyers(s): Stuart D. Roberts
Respondent(s): Nelson Amparo
Respondent Lawyers(s): Nelson Alejandro Amparo
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Providence, RI
| | |
| 18-00380 | 06/24/2019 | Claimant(s): Jeffrey Boudjouk
Claimant Lawyers(s): Jeffrey L. Levy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Mary C. Kelleher, Robert E. Anderson, Nicholas Trott Long
Hearing Site: Providence, RI
| | |
