| 18-03103 | 02/19/2021 | Claimant(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
|  | Dismissed by Rule 12212 |
| 19-03321 | 01/25/2021 | Claimant(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
| | Dismissed by Rule 12206 |
| 20-01028 | 01/13/2021 | Claimant(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
| | Dismissed by Rule 12206 |
| 19-01085 | 07/02/2020 | Claimant(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
| | Settlement |
| 20-00620 | 06/25/2020 | Claimant(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
| | $250,000 |
| 16-02058 | 05/20/2019 | Claimant(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
| | Expungement |
| 16-01153 | 04/15/2019 | Claimant(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
| | $510,600 |
| 17-01222 | 11/15/2018 | Claimant(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
| | Expungement |
| 17-00222 | 04/02/2018 | Claimant(s): The Estate of Renee Novack, Philip Novack Residuary Trust UAD 6/4/02, Renee Novack Rev. Trust UAD 6/4/02
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Lee Rosenberg, Steven Hoffman, Cadaret, Grant & Co..
Respondent Lawyers(s): William Zeena
Arbitrator(s): Diane M. Perry, Donald Theodore Ryce, Joseph Michael Librie
Hearing Site: Boca Raton, FL
| | Expungement |
| 17-00665 | 02/15/2018 | Claimant(s): Jane Hoffman
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Wells Fargo Advisors, Ronald Guertin
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Jacquelyn M. Shannon
Hearing Site: Tampa, FL
| | Expungement |
