| 13-02448 | 05/16/2014 | Claimant(s): Kimberly Adsit
Claimant Lawyers(s): Kimberly S. Adsit
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Melissa Shea
Arbitrator(s): Gene M. Bauer
Hearing Site: Boston, MA
|  | $14,300 |
| 13-01077 | 08/20/2013 | Claimant(s): Francis Mcgrail, Stuart Williams
Claimant Lawyers(s): T. Peter R. Pound
Respondent(s): Jane Barron
Respondent Lawyers(s): Peter Pease
Arbitrator(s): Gene M. Bauer
Hearing Site: Boston, MA
| | Expungement |
| 11-03987 | 08/14/2013 | Claimant(s): Cathleen Waugh, Christopher Waugh
Claimant Lawyers(s): Philip M. Giordano
Respondent(s): Gregory Friel, Russell Wasendorf
Respondent Lawyers(s): Richard Freeth, Russell R. Wasendorf
Arbitrator(s): Sandor I. Rabkin, Gene M. Bauer, Paul A. Auerbach
Hearing Site: Boston, MA
| | $70,000 |
| 11-04746 | 05/22/2013 | Claimant(s): Rene Mamouzellos
Claimant Lawyers(s): Robert V. Cornish
Respondent(s): Sean Nesto
Respondent Lawyers(s): Sean Nesto
Arbitrator(s): Gene M. Bauer
Hearing Site: Boston, MA
| | $2,282 |
| 12-01861 | 03/07/2013 | Claimant(s): Rene Mamouzellos
Claimant Lawyers(s): Robert V. Cornish
Respondent(s): James Rapuano
Respondent Lawyers(s): James Michael Rapuano
Arbitrator(s): Gene M. Bauer
Hearing Site: Boston, MA
| | $22,599 |
| 11-03819 | 03/04/2013 | Claimant(s): Margaret Tomkiewicz, Estate of Walter J. Tomkiewicz, Walter J. Tomkiewicz Trust
Claimant Lawyers(s): Gary S. Matsko
Respondent(s): Jon Piwowarczyk
Respondent Lawyers(s): Jon Edward Piwowarczyk
Arbitrator(s): Colette Manoil, B. J. Krintzman, Gene M. Bauer
Hearing Site: Boston, MA
| | $445,861 |
| 10-05206 | 12/29/2011 | Claimant(s): Priscilla D. Johnson, IRA, William P. Johnson IRA, William P. Johnson & Priscilla D. Johnso
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Michael P. Anciello, Gene M. Bauer, Barry Joseph Fiske
Hearing Site: Boston, MA
| | Expungement |
| 11-00891 | 08/09/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Edward C. Nowak
Respondent(s): Robert Cataldo
Respondent Lawyers(s): Robert A. Cataldo
Arbitrator(s): Gene M. Bauer
Hearing Site: Boston, MA
| | |
| 09-07248 | 07/06/2011 | Claimant(s): Clifford Diver, Elaine Royce, Peter Jenkins, Hans L. Carstensen III, IRA, Michael L. Blau IRA, Nader Darehshori, Thomas J. Bucknum, Besty S. Pollack Trust by Besty S. Polla, Darren R. Scandone Trust by Darren R. Sc
Claimant Lawyers(s): Marjorie S. Cooke
Respondent(s): Michael Munson, Jefferies & Company.
Respondent Lawyers(s): John R. Snyder
Arbitrator(s): Nancy E. Watters, David J. Kaufman, Gene M. Bauer
Hearing Site: Boston, MA
| | $0 |
| 09-04735 | 06/29/2011 | Claimant(s): Karl Hahn
Claimant Lawyers(s): Karl Edward Hahn
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Andrew T. Solomon
Arbitrator(s): Kelly M. Lonergan, Michael L. Letendre, Gene M. Bauer
Hearing Site: Boston, MA
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