19-02215 | 06/02/2021 | Claimant(s): John Gorsline, Susan Rhodes-Greene Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Next Financial Group. Respondent Lawyers(s): John Hitchings Arbitrator(s): Barry Goldman, Gerald W. Hepp, Joseph Maron Hanna Hearing Site: Buffalo, NY
| | Expungement |
19-03803 | 03/10/2021 | Claimant(s): Susan Godown, Susan J. Godown JTTEN Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): LPL Financial LLC Respondent Lawyers(s): Thomas Barnett Arbitrator(s): Karimu F. Hill-Harvey, Natalie Paskiewicz, Jason Paul Ramos Hearing Site: Tampa, FL
| | Expungement |
19-02741 | 03/04/2021 | Claimant(s): Jonathan Siegel Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Timothy N. Will Arbitrator(s): Edith N. Dinneen, Kenneth M. Weinman, Michael John Florio Hearing Site: Los Angeles, CA
| | Expungement |
18-03103 | 02/19/2021 | Claimant(s): Mattie M. Kelly 908 Trust Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Keith Olin Arbitrator(s): Michael H. McConihe, Peter A. Roche, Mimi Vivien Turin Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12212 |
19-03321 | 01/25/2021 | Claimant(s): John Holborn Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): David Shapiro, CNL Securities Corp., Cadaret, Grant & Co.. Respondent Lawyers(s): David G. Buffa, Jonathan E. Green Arbitrator(s): Tracy L. Allen, Kathleen P. Helbig-Hannan, Gerald Grace Hearing Site: Buffalo, NY
| | Dismissed by Rule 12206 |
20-01028 | 01/13/2021 | Claimant(s): Diane Ranck, Robert Ranck Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc Respondent Lawyers(s): Cory D. Olson Arbitrator(s): Tracy L. Allen, Alain Frecon, John Edward Jackson Hearing Site: Des Moines, IA
| | Dismissed by Rule 12206 |
19-01085 | 07/02/2020 | Claimant(s): Barbara Burda, Richard Burda Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Julia Miller, Michael Allen, G.F. Investment Services Respondent Lawyers(s): Joel Ewusiak, Kimberly A Koves, Michael Dennis Allen Arbitrator(s): Darryl C. Wilson, David Schwartzberg, John Arthur Riherd Hearing Site: Tampa, FL
| | Settlement |
20-00620 | 06/25/2020 | Claimant(s): Frieda McCay, Terry McCay, Terry McCay & Frieda C. McCay Rev Trust Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Anthony Mastroianni, John Riccardi, Windsor Street Capital Respondent Lawyers(s): Anthony Mastroianni, John F. Riccardi, John W. Stalanski Arbitrator(s): Lita S Menkin Hearing Site: Nashville, TN
| | $250,000 |
16-02058 | 05/20/2019 | Claimant(s): Bobby Blackwell, Gail Blackwell, Bobby W. Blackwell Trst U/A dtd 5/2/2013, Gail R. Blackwell Trst U/A dtd 5/2/2013 Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Jonathan C. Schwartz Arbitrator(s): Langfred W. White, Christopher William Crowley, James Mathieu Hearing Site: Tampa, FL
| | Expungement |
16-01153 | 04/15/2019 | Claimant(s): Kenneth Lieblein, Robin Lieblein, Kenneth R. Lieblein Revocable Trust Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Larry Wolfe, Herbert J. Sims & Co. Inc. Respondent Lawyers(s): Daniel S. Newman, Larry C. Wolfe Arbitrator(s): Patricia Morin, Michael J. Quarequio, S. Ronald Daniels Hearing Site: Boca Raton, FL
| | $510,600 |