| 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 |
| 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
| | |
| 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 |
| 17-02395 | 08/03/2018 | Claimant(s): Brian Mulvey
Claimant Lawyers(s): Owen Harnett
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Leonard Weintraub
Arbitrator(s): Paul A. Auerbach
Hearing Site: Boston, MA
| | |
| 17-02039 | 05/17/2018 | Claimant(s): William Kelly
Claimant Lawyers(s): David Freniere
Respondent(s): Voya Financial Partners
Respondent Lawyers(s): Brian J. Palmeri
Arbitrator(s): James R. Collins, Michael Jay Rich, Paul A. Auerbach
Hearing Site: Boston, MA
| | |
| 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 |
