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FINRA Awards for Michael S. Taaffe

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Displaying 10 out of 57 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0288211/04/2024Claimant(s): Gregory Bradshaw
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Samuel P. Peluso, Gayle B. Carlson, Mitchel Weiss
Hearing Site: Jacksonville, FL
23-0116408/28/2024Claimant(s): First Republic Investment Management, First Republic Securities Company
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Steven Levine
Respondent Lawyers(s): Michael S. Taaffe
Arbitrator(s): Ronald Howard Filler, Robert Lawrence Ostrov, Mark H Schiff
Hearing Site: Boca Raton, FL
20-0110603/15/2021Claimant(s): Joseph Williams
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): M. Todd Sullivan
Arbitrator(s): Michael E. Weddington, Michael J. Pasquale, Charles Robert Moore
Hearing Site: Raleigh, NC
17-0224411/17/2020Claimant(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
Checkmark Icon$135,000
18-0294010/22/2020Claimant(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
Checkmark IconDismissed by Rule 12206/12504
18-0083806/24/2020Claimant(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
Checkmark IconDismissed by Rule 12206/12504
18-0194505/21/2020Claimant(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
Checkmark IconDismissed by Rule 12206/12504
18-0195104/07/2020Claimant(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
Checkmark IconDismissed by Rule 12206/12504
19-0019403/25/2020Claimant(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
Checkmark IconDismissed by Rule 12206/12504
18-0051503/13/2020Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Matthew Beaver
Respondent Lawyers(s): Matthew Beaver
Arbitrator(s): Stephen Wayne Medlin, Stuart W. Smith, David F. Barrett
Hearing Site: St. Louis, MO

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