| 21-02993 | 03/13/2023 | Claimant(s): Sheila Gambrel, The Jean O. King Trust
Claimant Lawyers(s): Robert C. Stokes
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Richard S. Zaifert, Gary E. Marcus, Carolyn E. Moore
Hearing Site: Tampa, FL
|  | $0 |
| 19-02055 | 12/03/2021 | Claimant(s): Cita Trust Company AG
Claimant Lawyers(s): Stephanie Martin
Respondent(s): Ann Allen, Fifth Third Securities.
Respondent Lawyers(s): Joseph N. Tucker, Samuel Gilley
Arbitrator(s): Richard S. Zaifert, Joel F. Martineau, Thomas Roe Oldt
Hearing Site: Tampa, FL
| | $0 |
| 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 |
| 19-01306 | 03/02/2020 | Claimant(s): Thomas Domke
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Richard S. Zaifert
Hearing Site: Tampa, FL
| | Expungement |
| 18-02823 | 05/03/2019 | Claimant(s): Bonnie Wettersten, Reid Wettersten
Claimant Lawyers(s): Reid Wettersten
Respondent(s): Yosef Fox
Respondent Lawyers(s): Yosef Yehuda Fox
Arbitrator(s): Richard S. Zaifert, Maurice M. Feller, Jacquelyn M. Shannon
Hearing Site: Tampa, FL
| | $150,425 |
| 18-02243 | 04/26/2019 | Claimant(s): Patricia Quammie
Claimant Lawyers(s): Paul Larkin
Respondent(s): Howard Newman, Janney Montgomery Scott LLC
Respondent Lawyers(s): Matthew J. Gavaghan
Arbitrator(s): Richard S. Zaifert
Hearing Site: Jacksonville, FL
| | Expungement |
| 16-00629 | 10/18/2018 | Claimant(s): Antonio Gnocchi Franco, Gnocchi Franco Law Offices PSC, Antonio Gnocchi Ret Plan
Claimant Lawyers(s): Melanie S. Cherdack
Respondent(s): Popular Securities
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Richard S. Zaifert, Julius P. Terrell, Sydney E. Blum
Hearing Site: San Juan, PR
| | $173,537 |
| 17-00352 | 05/14/2018 | Claimant(s): Clarence B. Mills 1991 Irrevocable Trust, William E. Mills 1991 Irrevocable Trust
Claimant Lawyers(s): Alan W. Duncan
Respondent(s): David Robinson, Wachovia Securities Financial Network, Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Richard S. Zaifert, Michele Ann Ledo, Theodore Haynes
Hearing Site: Raleigh, NC
| | Expungement |
