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FINRA Awards for Bradford M. Gucciardo

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Displaying 21-30 out of 68 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0380303/10/2021Claimant(s): Susan Godown, Susan J. Godown JTTEN
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Karimu F. Hill-Harvey, Natalie Paskiewicz, Jason Paul Ramos
Hearing Site: Tampa, FL
Checkmark IconExpungement
19-0274103/04/2021Claimant(s): Jonathan Siegel
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Edith N. Dinneen, Kenneth M. Weinman, Michael John Florio
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
18-0310302/19/2021Claimant(s): Mattie M. Kelly 908 Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Michael H. McConihe, Peter A. Roche, Mimi Vivien Turin
Hearing Site: Boca Raton, FL
Checkmark IconDismissed by Rule 12212
19-0332101/25/2021Claimant(s): John Holborn
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): David Shapiro, CNL Securities Corp., Cadaret, Grant & Co..
Respondent Lawyers(s): David G. Buffa, Jonathan E. Green
Arbitrator(s): Tracy L. Allen, Kathleen P. Helbig-Hannan, Gerald Grace
Hearing Site: Buffalo, NY
Checkmark IconDismissed by Rule 12206
20-0102801/13/2021Claimant(s): Diane Ranck, Robert Ranck
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Cory D. Olson
Arbitrator(s): Tracy L. Allen, Alain Frecon, John Edward Jackson
Hearing Site: Des Moines, IA
Checkmark IconDismissed by Rule 12206
19-0108507/02/2020Claimant(s): Barbara Burda, Richard Burda
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Julia Miller, Michael Allen, G.F. Investment Services
Respondent Lawyers(s): Joel Ewusiak, Kimberly A Koves, Michael Dennis Allen
Arbitrator(s): Darryl C. Wilson, David Schwartzberg, John Arthur Riherd
Hearing Site: Tampa, FL
Checkmark IconSettlement
20-0062006/25/2020Claimant(s): Frieda McCay, Terry McCay, Terry McCay & Frieda C. McCay Rev Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Anthony Mastroianni, John Riccardi, Windsor Street Capital
Respondent Lawyers(s): Anthony Mastroianni, John F. Riccardi, John W. Stalanski
Arbitrator(s): Lita S Menkin
Hearing Site: Nashville, TN
Checkmark Icon$250,000
16-0205805/20/2019Claimant(s): Bobby Blackwell, Gail Blackwell, Bobby W. Blackwell Trst U/A dtd 5/2/2013, Gail R. Blackwell Trst U/A dtd 5/2/2013
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Langfred W. White, Christopher William Crowley, James Mathieu
Hearing Site: Tampa, FL
Checkmark IconExpungement
16-0115304/15/2019Claimant(s): Kenneth Lieblein, Robin Lieblein, Kenneth R. Lieblein Revocable Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Larry Wolfe, Herbert J. Sims & Co. Inc.
Respondent Lawyers(s): Daniel S. Newman, Larry C. Wolfe
Arbitrator(s): Patricia Morin, Michael J. Quarequio, S. Ronald Daniels
Hearing Site: Boca Raton, FL
Checkmark Icon$510,600
17-0122211/15/2018Claimant(s): Robert Bakst, Silvia Bakst, Silvia Bakst Revocable Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Wells Fargo Clearing Services, Robert Elkins
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Ronald A. Isackson, Jack A. Helms, Karl A. Vogeler
Hearing Site: Tampa, FL
Checkmark IconExpungement

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