| 22-02533 | 10/22/2024 | Claimant(s): Bruce Gallagher, Kathleen Gallagher, on behalf of his IRA, on behalf of her IRA, Bruce and Kathleen Gallagher, jointly
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Richard S. Zaifert, David M. Snyder, Carolyn E. Moore
Hearing Site: Tampa, FL
|  | Expungement |
| 23-01683 | 09/05/2024 | Claimant(s): Jessica Jung
Claimant Lawyers(s): Andrew S. May
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Richard S. Zaifert, Robert William Copeland, Douglas Charles Weinstein
Hearing Site: Nashville, TN
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| 23-02670 | 08/16/2024 | Claimant(s): Jeffrey McDonald
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gina Shlaferman
Arbitrator(s): Richard S. Zaifert, Steele Thomas Williams, Philip L. Manczak
Hearing Site: Tampa, FL
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| 23-02849 | 06/14/2024 | Claimant(s): Gordon Davis
Claimant Lawyers(s): Nathan W. Lamb
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Richard S. Zaifert
Hearing Site: Raleigh, NC
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| 23-02904 | 06/07/2024 | Claimant(s): Roberto Costa
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Kalie M. Maniglia
Arbitrator(s): Richard S. Zaifert
Hearing Site: Jacksonville, FL
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| 23-02931 | 05/23/2024 | Claimant(s): James Ciocia
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Richard S. Zaifert, Jerome Blevins, Brian E. Spletzer
Hearing Site: Tampa, FL
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| 23-02947 | 05/15/2024 | Claimant(s): Dale Emerick
Claimant Lawyers(s): Joel M. Everest
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Richard S. Zaifert
Hearing Site: Tampa, FL
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| 23-01963 | 03/01/2024 | Claimant(s): Rudolf Molnar
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard S. Zaifert, David M. Snyder, Lisa Elkin Schwartz
Hearing Site: Tampa, FL
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| 22-02818 | 09/27/2023 | Claimant(s): Christopher Aitken, Roy Tonning
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Richard S. Zaifert
Hearing Site: Jacksonville, FL
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| 23-01495 | 07/24/2023 | Claimant(s): Benjamin Walker
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Richard S. Zaifert
Hearing Site: Nashville, TN
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