22-02735 | 07/13/2023 | Claimant(s): Ally Invest Securities LLC Claimant Lawyers(s): Daniel S. Newman Respondent(s): Tin Tran Respondent Lawyers(s): Tin Trung Tran Arbitrator(s): Andrea J. Goldman, Gene M. Bauer, Edward Wallack Hearing Site: Boston, MA
| | $149,389 |
22-00864 | 06/30/2023 | Claimant(s): David Soble Claimant Lawyers(s): John E. Sutherland Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Joel M. Everest Arbitrator(s): Gene M. Bauer, Michael P. Breton, Thomas M. Madden Hearing Site: Boston, MA
| | $0 |
21-01036 | 06/03/2022 | Claimant(s): David Gaudet Claimant Lawyers(s): Christa M. Hibbard Respondent(s): Michael Digioia Respondent Lawyers(s): Michael Joseph Digioia Arbitrator(s): Gene M. Bauer, Patrick Sullivan, Carol Ellen Carson Hearing Site: Boston, MA
| | $150,400 |
17-02966 | 03/11/2021 | Claimant(s): Turner Bynum Claimant Lawyers(s): Turner Edward "Ted" Bynum Respondent(s): Stephen Dellelo, Next Financial Group. Respondent Lawyers(s): Steven N. Fuller Arbitrator(s): Amy Lampert, Gene M. Bauer Hearing Site: Boston, MA
| | Expungement |
18-04192 | 08/12/2019 | Claimant(s): Kenneth Ebbe Claimant Lawyers(s): John A. Mangones Respondent(s): Donald Gunn, Richard Frueh, Leerink Partners LLC Respondent Lawyers(s): Burton W. Wiand, David H. Jarvis, Lloyd S. Clareman Arbitrator(s): Howard N. Gorney, Gene M. Bauer, Peter M Cosel Hearing Site: Boston, MA
| | Dismissed by Rule 12206/12504 |
17-03210 | 04/26/2019 | Claimant(s): Tino Villanueva Claimant Lawyers(s): Jared Febbroriello Respondent(s): David Manor Respondent Lawyers(s): David Manor Arbitrator(s): Gene M. Bauer, Jeffrey Neil Fink, Catherine M. Gallagher Hearing Site: Boston, MA
| | $0 |
16-00218 | 10/19/2016 | Claimant(s): Sophie Shen Claimant Lawyers(s): Sanford F. Remz Respondent(s): Christopher Moschella, Ameriprise Financial Services. Respondent Lawyers(s): Edward A. Walton Arbitrator(s): Amy Lampert, Gene M. Bauer, John Francis Markuns Hearing Site: Boston, MA
| | Expungement |
13-00203 | 06/19/2015 | Claimant(s): Eloise Clawson Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith Felde Hoffman Arbitrator(s): Chesley Oriel, John B. Kinsellagh, Gene M. Bauer Hearing Site: Boston, MA
| | $0 |
12-03796 | 06/18/2015 | Claimant(s): Mary Mahoney, James & Delores Caggiano Claimant Lawyers(s): Jason J. Kane Respondent(s): Raymond James Financial Services. Respondent Lawyers(s): Robert Rudnicki Arbitrator(s): Tom L. Peterson, William R Harding, Gene M. Bauer Hearing Site: Boston, MA
| | $0 |
13-02776 | 12/02/2014 | Claimant(s): Pamela Mok, M.D. Roller IRA, M.D. SEP IRA, Paul Wood, Paul Wood and Pamela Mok Claimant Lawyers(s): Paul A. Wood Respondent(s): UBS Financial Services Inc., Maxwell Bardeen, Wyatt Larsen Respondent Lawyers(s): Michael Torres Arbitrator(s): Gene M. Bauer Hearing Site: Boston, MA
| | $0 |