| 17-02244 | 11/17/2020 | Claimant(s): Kyle Busch, Samantha Busch
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Charles Parks, C.F. Parks & Co.., Commonwealth Financial Network
Respondent Lawyers(s): Peter B. King
Arbitrator(s): Patricia Ann Tracey, Richard E. Miley, James Howell Garrison
Hearing Site: Charlotte, NC
|  | $135,000 |
| 18-02940 | 10/22/2020 | Claimant(s): James Dullanty
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Marc Kalish, Rick L. Knuth, Donald Dreyfus
Hearing Site: Salt Lake City, UT
| | Dismissed by Rule 12206/12504 |
| 18-00838 | 06/24/2020 | Claimant(s): Charles Ross
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Leonel Peraza
Arbitrator(s): John P. Cullem, Richard S. Zaifert, Brian Michael Kane
Hearing Site: Jacksonville, FL
| | Dismissed by Rule 12206/12504 |
| 18-01945 | 05/21/2020 | Claimant(s): Raymond George
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Leonel Peraza
Arbitrator(s): Richard S. Zaifert, Karl A. Vogeler, Nicholas Gerald Castellano
Hearing Site: Tampa, FL
| | Dismissed by Rule 12206/12504 |
| 18-01951 | 04/07/2020 | Claimant(s): Linda Marcelli
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ivan P. Harris
Arbitrator(s): Langfred W. White, Richard S. Zaifert, Jerome Blevins
Hearing Site: Tampa, FL
| | Dismissed by Rule 12206/12504 |
| 19-00194 | 03/25/2020 | Claimant(s): Thomas Hirsch
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Louis F. Mendez
Arbitrator(s): Allan Weiss, Gregory Hunter Mathews, James A. McIntosh
Hearing Site: Louisville, KY
| | Dismissed by Rule 12206/12504 |
| 18-02961 | 03/05/2020 | Claimant(s): Charles Carson
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): G. Maynard Green, Daniel J. Pagnano, Wayne Reid Nelson
Hearing Site: Houston, TX
| | Dismissed by Rule 12206/12504 |
| 18-01953 | 01/10/2020 | Claimant(s): Brian Sepe, Dawn Sepe
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Mary Gail Gearns
Arbitrator(s): Steven Gerard Goerke, Michael A. Levin, Gary Mathew Singer
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206/12504 |
| 18-00266 | 12/09/2019 | Claimant(s): Harold Merchant
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Leonel Peraza
Arbitrator(s): Will Murphy, Laurence V. Senn, Thomas W. Allen
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206/12504 |
| 18-02065 | 04/23/2019 | Claimant(s): George Kane
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Larry T. Coady, James John Jurinski, Justin Kurt Kraemer
Hearing Site: Portland, OR
| | Dismissed by Rule 12206/12504 |
