| 09-06537 | 07/15/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Steven Lawton
Respondent Lawyers(s): Steven Michael Lawton
Arbitrator(s): Ernest Fanwick
Hearing Site: Providence, RI
| | |
| 09-07045 | 06/24/2010 | Claimant(s): A.G. Edwards & Sons.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): David Stern
Respondent Lawyers(s): David C. Stern
Arbitrator(s): William I. Carmen
Hearing Site: Providence, RI
| | |
| 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 |
| 07-01200 | 09/02/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Wade Contney
Respondent Lawyers(s): Wade Contney
Arbitrator(s): Paul G. Cuomo, John Joseph Cotter, James J. Gadarowski
Hearing Site: Providence, RI
| | |
| 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 |
| 07-00701 | 08/13/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Michael L. Chinitz
Respondent(s): Gabriel Defeo, Karen Ellis, Louis Garofano, Martin Courage
Respondent Lawyers(s): Catherine A. Sammartino, Todd M. Reed
Arbitrator(s): Stephen Z. Frank, Robert V. Deiana, Evalyn Lipton Fishbein
Hearing Site: Providence, RI
| | |
| 05-04863 | 10/09/2007 | Claimant(s): Anne McCarver
Claimant Lawyers(s): Catherine A. Sammartino
Respondent(s): Brian Katz, Citigroup Global Markets., Joseph DeNeault
Respondent Lawyers(s): Sarah G. Kim
Arbitrator(s): Ronald L. Cheney, John Klinetob, Jeffrey L. Levy
Hearing Site: Providence, RI
| | |
| 07-01257 | 09/21/2007 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Carrie L Chelko
Respondent(s): Thomas Taylor
Respondent Lawyers(s): Thomas Howard Taylor
Arbitrator(s): John Joseph Cotter
Hearing Site: Providence, RI
| | |
