| 21-01930 | 12/22/2023 | Claimant(s): Phillip Parziale
Claimant Lawyers(s): William Haddad
Respondent(s): Citizens Securities.
Respondent Lawyers(s): Amy M. McCallen
Arbitrator(s): Richard D. Levin, Gene M. Bauer, John George Neylon
Hearing Site: Boston, MA
| | |
| 22-01351 | 12/18/2023 | Claimant(s): William Keeney
Claimant Lawyers(s): Jeremy L. Bartell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Gene M. Bauer, William Robinson Driscoll, Stephen James McLaughlin
Hearing Site: Boston, MA
| | |
| 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 |
| 21-00961 | 04/04/2023 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michelle M. Wezner
Respondent(s): Craig Lewis
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Lucy J. Karl, Gene M. Bauer, Paula M. Bagger
Hearing Site: Boston, MA
| | |
| 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 |
| 19-01829 | 10/29/2021 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Aime Dempsey
Respondent(s): Keith Melanson
Respondent Lawyers(s): Louis M. Ciavarra
Arbitrator(s): Arthur J. Giacomarra, Gene M. Bauer, Brady James Hermann
Hearing Site: Boston, MA
| | |
| 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 |
| 19-02481 | 01/22/2021 | Claimant(s): Salvatore Mansueto
Claimant Lawyers(s): Jeremy L. Bartell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Jeffrey P. Petrucelly, Gene M. Bauer, Tristan Nicholas Ostronic
Hearing Site: Boston, MA
| | |
| 20-00667 | 06/18/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Scott Whittemore
Respondent Lawyers(s): Scott Robert Whittemore
Arbitrator(s): Gene M. Bauer
Hearing Site: Boston, MA
| | |
