| 18-02961 | 03/05/2020 | Claimant(s): Charles Carson
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): G. Maynard Green, Daniel J. Pagnano, Wayne Reid Nelson
Hearing Site: Houston, TX
|  | Dismissed by Rule 12206/12504 |
| 18-01953 | 01/10/2020 | Claimant(s): Brian Sepe, Dawn Sepe
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Mary Gail Gearns
Arbitrator(s): Steven Gerard Goerke, Michael A. Levin, Gary Mathew Singer
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206/12504 |
| 18-00266 | 12/09/2019 | Claimant(s): Harold Merchant
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Leonel Peraza
Arbitrator(s): Will Murphy, Laurence V. Senn, Thomas W. Allen
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206/12504 |
| 16-00653 | 11/08/2019 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Mark Adams
Respondent Lawyers(s): Mark Adams
Arbitrator(s): Steven S. Manos
Hearing Site: Boston, MA
| | |
| 17-03080 | 07/19/2019 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Jeffrey Krupnick
Respondent Lawyers(s): Jeffrey E. Krupnick
Arbitrator(s): Richard S. Zaifert
Hearing Site: Tampa, FL
| | |
| 18-00144 | 05/02/2019 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Joseph Befera
Respondent Lawyers(s): Joseph G. Befera
Arbitrator(s): Kenneth R. Starr
Hearing Site: Tampa, FL
| | |
| 18-02065 | 04/23/2019 | Claimant(s): George Kane
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Larry T. Coady, James John Jurinski, Justin Kurt Kraemer
Hearing Site: Portland, OR
| | Dismissed by Rule 12206/12504 |
| 16-03470 | 11/29/2018 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Darren Jurick
Respondent Lawyers(s): Lawrence M. Schantz
Arbitrator(s): Steven R. Reininger
Hearing Site: Boca Raton, FL
| | |
| 17-01870 | 10/25/2018 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Randyl Taber
Respondent Lawyers(s): Gail Boliver
Arbitrator(s): Robert J. Scafuri, Mark A. Frankel, Robert D Lawson
Hearing Site: Des Moines, IA
| | |
| 18-00175 | 10/23/2018 | Claimant(s): Jeffrey Fratarcangeli
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): William C. Kubicz, Robert J. Scafuri, Patrick R. Sughroue
Hearing Site: Detroit, MI
| | |
