23-00211 | 05/01/2024 | Claimant(s): Christina Ludvigsen, Christina Ludvigsen IRA (1107), Christina Ludvigsen IRA (3283) Claimant Lawyers(s): Kevin P. Conway Respondent(s): Frank Wu, Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services Respondent Lawyers(s): Jason Kempf Arbitrator(s): Allan N. Taffet, Edmund Siejka, John Franklin Udochi Hearing Site: New York, NY
| | $7,440 |
21-01123 | 10/08/2021 | Claimant(s): Michele Misiti Claimant Lawyers(s): Scott Holcomb Respondent(s): John Thomas Financial Respondent Lawyers(s): Maria Cummings Arbitrator(s): Ann C. Northern, William E. Nuckel, Allan N. Taffet Hearing Site: New York, NY
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17-00520 | 01/29/2018 | Claimant(s): Drema Weaver, BB&T Investment Services. Claimant Lawyers(s): Katherine McGrail Respondent(s): Carl Foxworth, Mollie Foxworth Respondent Lawyers(s): Gene M. Connell Arbitrator(s): Allan N. Taffet, Mary Ellen Burns, Richard A. Cini Hearing Site: New York, NY
| | Expungement |
15-00973 | 07/01/2016 | Claimant(s): Keith Lind Claimant Lawyers(s): Jonathan Sack Respondent(s): RBS Securities Inc. Respondent Lawyers(s): Patrick J. Lamparello Arbitrator(s): David S. Billet, Allan N. Taffet, John J. Vesey Hearing Site: New York, NY
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09-05934 | 07/11/2011 | Claimant(s): HAP Trading Claimant Lawyers(s): Thomas J. McCabe Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Gabrielle Gould Arbitrator(s): Robert L. Spangler, Allan N. Taffet, Mark J. Happe Hearing Site: New York, NY
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07-00345 | 03/10/2009 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Warren Rockmacher Respondent Lawyers(s): Warren M. Rockmacher Arbitrator(s): Mark D. Quinn, Charles L. Henderson, Allan N. Taffet Hearing Site: New York, NY
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