| 19-02248 | 03/06/2020 | Claimant(s): Michael Scott
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Gene M. Bauer
Hearing Site: Boston, MA
| | |
| 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 |
| 17-02572 | 04/12/2018 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): James Polese
Respondent Lawyers(s): James S Polese
Arbitrator(s): Gene M. Bauer
Hearing Site: Boston, MA
| | |
| 15-03037 | 12/09/2016 | Claimant(s): Silverwood Partners
Claimant Lawyers(s): Dana A. Zakarian
Respondent(s): Jonathan Hodson-Walker, Lisa Hodson-Walker, Michael Burgmaier, Nicolas Mccoy
Respondent Lawyers(s): Christopher F. Robertson, Dana A. Zakarian
Arbitrator(s): Gene M. Bauer, Sheryl R. Marshall, Joseph Samuel Berman
Hearing Site: Boston, MA
| | |
| 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 |
| 15-03327 | 04/14/2016 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania T. Facher
Respondent(s): Richard Cody
Respondent Lawyers(s): Stephen Z. Frank
Arbitrator(s): Gene M. Bauer
Hearing Site: Boston, MA
| | |
| 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 |
