FINRA Awards for Michael S. Taaffe

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Displaying 51-57 out of 57 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
15-01910	11/09/2015	Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Michael S. Taaffe Respondent(s): Respondent Lawyers(s): Arbitrator(s): William M. Getzoff Hearing Site: Minneapolis, MN
14-03142	11/03/2015	Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Michael S. Taaffe Respondent(s): Barry Blount Respondent Lawyers(s): Barry Boyd Blount Arbitrator(s): John J. Jordan Hearing Site: Philadelphia, PA
12-01510	03/21/2013	Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): Leo Kogan Respondent(s): Lawrence Schnurmacher Respondent Lawyers(s): Michael S. Taaffe Arbitrator(s): George J. Blutstein Hearing Site: Boca Raton, FL
10-04432	04/03/2012	Claimant(s): Meri Ramazio, Tamara Smolchek Claimant Lawyers(s): Michael S. Taaffe Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Douglas K. Spaulding Arbitrator(s): Harriet A. Kottick, Bonnie A. Pearce, Fred Abramoff Hearing Site: Boca Raton, FL
09-01683	03/05/2012	Claimant(s): Wachovia Securities Claimant Lawyers(s): Jason Warner Respondent(s): Robert Bailey Respondent Lawyers(s): Michael S. Taaffe Arbitrator(s): John G. Manley, Stephen Edward Cundiff Hearing Site: Birmingham, AL
09-02428	10/13/2010	Claimant(s): Albert Montague, Willard Rumley Claimant Lawyers(s): Michael S. Taaffe Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Catherine S. Ryan Arbitrator(s): Diane M. Perry, Laila Asmar Folk, Robert B. Kane Hearing Site: Boca Raton, FL
06-00479	12/17/2007	Claimant(s): Wachovia Securities Claimant Lawyers(s): David James Smith Respondent(s): Richard Rubin Respondent Lawyers(s): Michael S. Taaffe Arbitrator(s): Thomas R. Maimone, Frank Nussbaum, Joel F. Martineau Hearing Site: Boca Raton, FL