| 21-02882 | 11/04/2024 | Claimant(s): Gregory Bradshaw
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Samuel P. Peluso, Gayle B. Carlson, Mitchel Weiss
Hearing Site: Jacksonville, FL
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| 23-01164 | 08/28/2024 | Claimant(s): First Republic Investment Management, First Republic Securities Company
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Steven Levine
Respondent Lawyers(s): Michael S. Taaffe
Arbitrator(s): Ronald Howard Filler, Robert Lawrence Ostrov, Mark H Schiff
Hearing Site: Boca Raton, FL
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| 20-01106 | 03/15/2021 | Claimant(s): Joseph Williams
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): M. Todd Sullivan
Arbitrator(s): Michael E. Weddington, Michael J. Pasquale, Charles Robert Moore
Hearing Site: Raleigh, NC
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| 18-00515 | 03/13/2020 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Matthew Beaver
Respondent Lawyers(s): Matthew Beaver
Arbitrator(s): Stephen Wayne Medlin, Stuart W. Smith, David F. Barrett
Hearing Site: St. Louis, MO
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| 16-00653 | 11/08/2019 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Mark Adams
Respondent Lawyers(s): Mark Adams
Arbitrator(s): Steven S. Manos
Hearing Site: Boston, MA
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| 17-03080 | 07/19/2019 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Jeffrey Krupnick
Respondent Lawyers(s): Jeffrey E. Krupnick
Arbitrator(s): Richard S. Zaifert
Hearing Site: Tampa, FL
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| 18-00144 | 05/02/2019 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Joseph Befera
Respondent Lawyers(s): Joseph G. Befera
Arbitrator(s): Kenneth R. Starr
Hearing Site: Tampa, FL
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| 16-03470 | 11/29/2018 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Darren Jurick
Respondent Lawyers(s): Lawrence M. Schantz
Arbitrator(s): Steven R. Reininger
Hearing Site: Boca Raton, FL
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| 17-01870 | 10/25/2018 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Randyl Taber
Respondent Lawyers(s): Gail Boliver
Arbitrator(s): Robert J. Scafuri, Mark A. Frankel, Robert D Lawson
Hearing Site: Des Moines, IA
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| 18-00175 | 10/23/2018 | Claimant(s): Jeffrey Fratarcangeli
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): William C. Kubicz, Robert J. Scafuri, Patrick R. Sughroue
Hearing Site: Detroit, MI
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