| 23-02612 | 06/14/2024 | Claimant(s): Jeffrey Lashley
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John Murphy, Katelyn H. Wilson
Arbitrator(s): John W. Jones, David A. Schuler, Jeremy Deeken
Hearing Site: Kansas City, MO
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| 23-02132 | 03/11/2024 | Claimant(s): Shmuel Maya
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Kimberly A. Gilmour, Adam Lawrence Frankel, Samuel Adam Katz
Hearing Site: Boca Raton, FL
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| 23-01363 | 12/27/2023 | Claimant(s): Mark Gopen, Philip Weinisch
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Jeanette E. Dennis
Arbitrator(s): Thomas E. Duggan, Ellyn S. Roth, Gerald M. Levine
Hearing Site: New York, NY
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| 23-01251 | 11/17/2023 | Claimant(s): Benjamin Marcano
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Wells Fargo Advisors Financial Network, UBS Financial Services Inc.
Respondent Lawyers(s): Deirdre Wolff, John Murphy
Arbitrator(s): Madelon M. Rosenfeld, Alice E. Winkler, Robert Morris
Hearing Site: New York, NY
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| 23-00210 | 08/21/2023 | Claimant(s): Jon Newman
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard W. Cutler, Jay Alan Kranis, Lynda Kommel-Browne
Hearing Site: New York, NY
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| 22-02050 | 05/03/2023 | Claimant(s): Shawn Burke
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jason Kempf
Arbitrator(s): Michael L. Fortney, Stephen M. Bales, David Arnold
Hearing Site: Cleveland, OH
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| 22-00917 | 11/28/2022 | Claimant(s): Yan Binder
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Jeffrey D. Rodgers
Arbitrator(s): Stuart Bruce Klein, Robert G. Geeseman, Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
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| 21-03037 | 08/18/2022 | Claimant(s): Barbra Shaffer
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Kimberly A. Gilmour, Rosemarie Ann Jannuzzi, John S. Leech
Hearing Site: Boca Raton, FL
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| 21-01708 | 02/03/2022 | Claimant(s): Scott Turcott
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Mark P. Harbison
Arbitrator(s): John B. Kinsellagh, Benjamin F. Breslauer, Howard Gerber
Hearing Site: Phoenix, AZ
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| 21-01589 | 10/22/2021 | Claimant(s): Randi Speedling
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Sandra J. Mullings, Paul Bennett Marrow, Jonathan Cooper
Hearing Site: New York, NY
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