FINRA Awards for Donald S. Bauman

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Displaying 5 out of 5 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
21-00361	12/17/2021	Claimant(s): Thomas Seiler Claimant Lawyers(s): Benjamin J. Biard Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Laura A. Pizzitola Arbitrator(s): John J. Jordan, Donald S. Bauman, Kattina V. Barsik Hearing Site: Philadelphia, PA
17-01153	10/09/2017	Claimant(s): David Coult Claimant Lawyers(s): Jonathan M. Sterling Respondent(s): NYLife Securities LLC Respondent Lawyers(s): Jeffrey A. Sturgeon Arbitrator(s): Donald S. Bauman Hearing Site: Philadelphia, PA
15-02426	09/30/2016	Claimant(s): Amir Ahmad Claimant Lawyers(s): Dan S. Sweetser Respondent(s): Morgan Stanley Respondent Lawyers(s): Joe Gehring Arbitrator(s): Michael P. Marryshow, Peter D. Shelp, Donald S. Bauman Hearing Site: Philadelphia, PA
15-00140	04/12/2016	Claimant(s): Robert Bowman Claimant Lawyers(s): Thomas B. Lewis Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Rima F. Hartman Arbitrator(s): Jim Geiger, John P. Azzopardi, Donald S. Bauman Hearing Site: Philadelphia, PA
14-00408	10/27/2014	Claimant(s): Keith Steidle Claimant Lawyers(s): Brian A. Carlis Respondent(s): PLC Design. 401K Plan Respondent Lawyers(s): Robert G. Varkonyi Arbitrator(s): David M. Panko, Michael P. Marryshow, Donald S. Bauman Hearing Site: Philadelphia, PA		Expungement