| 17-02890 | 10/11/2018 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Dorothy Powers
Respondent Lawyers(s): Dorothy Greppin Powers
Arbitrator(s): Morris S. Getzels, Edwin John Apenbrink, William Ogburn Huggins
Hearing Site: Las Vegas, NV
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| 17-01976 | 09/12/2018 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): James Heilgeist
Respondent Lawyers(s): James Andrew Heilgeist
Arbitrator(s): Stuart D. Summers, Susanne J. Hollander, Carol Rivers
Hearing Site: Chicago, IL
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| 18-00077 | 06/26/2018 | Claimant(s): Ameriprise Financial Services
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Michael Durgin
Respondent Lawyers(s): Michael Patrick Durgin
Arbitrator(s): James R. Collins
Hearing Site: Boston, MA
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| 16-03699 | 06/22/2018 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael J. Sheehan
Respondent(s): Eric Brook
Respondent Lawyers(s): Michael S. Taaffe
Arbitrator(s): Steven R. Reininger
Hearing Site: Miami, FL
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| 16-02681 | 06/08/2018 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): James Duncombe
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): A. Joel Klein, Rosa Linda Guadarrama, Cheryl Marie Allain-Mee
Hearing Site: Los Angeles, CA
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| 16-01831 | 04/23/2018 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): William Barker
Respondent Lawyers(s): Philip J. Snyderburn
Arbitrator(s): Kenneth J. Bennett, John Berryman, Amanda M. Cole
Hearing Site: Jacksonville, FL
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| 16-03448 | 03/01/2018 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Vincent Canzoneri
Respondent Lawyers(s): Vincent Canzoneri
Arbitrator(s): William R. Jonson
Hearing Site: Houston, TX
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| 16-03134 | 01/23/2018 | Claimant(s): Cheryle Brady
Claimant Lawyers(s): Peter M. Bizinkauskas
Respondent(s): Brian Noyes, Ameriprise Financial Services.
Respondent Lawyers(s): Michael S. Taaffe
Arbitrator(s): Colette Manoil, Benjamin Willard Beck, David Summer
Hearing Site: Boston, MA
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| 16-03398 | 10/27/2017 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Philip Staff
Respondent Lawyers(s): Philip Jameson Staff
Arbitrator(s): William E. Schneider
Hearing Site: Boca Raton, FL
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| 16-02149 | 10/17/2017 | Claimant(s): John Yannick
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Rima Hartman
Arbitrator(s): Stuart K. Furman
Hearing Site: Orlando, FL
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