| 20-02322 | 03/19/2021 | Claimant(s): Jon Lowther
Claimant Lawyers(s): Jonathan Schwartz
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Richard S. Zaifert
Hearing Site: Tampa, FL
| | |
| 20-03063 | 03/08/2021 | Claimant(s): John Porter
Claimant Lawyers(s): David I. Hantman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Richard S. Zaifert
Hearing Site: Jacksonville, FL
| | |
| 20-03080 | 02/05/2021 | Claimant(s): Jeffrey Burton
Claimant Lawyers(s): Clayton B. McCullough
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): John P. Cullem, Richard S. Zaifert, Christopher Cecil Lamb
Hearing Site: Columbia, SC
| | |
| 20-01153 | 12/17/2020 | Claimant(s): Ricky Higgins
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Heartland Capital., Proequities.
Respondent Lawyers(s): Jeanne A. Jehle, Katie M. Kimbrell
Arbitrator(s): Richard S. Zaifert
Hearing Site: Columbia, SC
| | |
| 18-00838 | 06/24/2020 | Claimant(s): Charles Ross
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Leonel Peraza
Arbitrator(s): John P. Cullem, Richard S. Zaifert, Brian Michael Kane
Hearing Site: Jacksonville, FL
|  | Dismissed by Rule 12206/12504 |
| 18-01945 | 05/21/2020 | Claimant(s): Raymond George
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Leonel Peraza
Arbitrator(s): Richard S. Zaifert, Karl A. Vogeler, Nicholas Gerald Castellano
Hearing Site: Tampa, FL
| | Dismissed by Rule 12206/12504 |
| 18-01951 | 04/07/2020 | Claimant(s): Linda Marcelli
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ivan P. Harris
Arbitrator(s): Langfred W. White, Richard S. Zaifert, Jerome Blevins
Hearing Site: Tampa, FL
| | Dismissed by Rule 12206/12504 |
| 19-02697 | 03/17/2020 | Claimant(s): Aaron Gore, David Monckton, Ronald Metcalf, Samuel Head
Claimant Lawyers(s): Bryce Benson
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): Richard S. Zaifert, Harvey R. Linder, Brian Stafford
Hearing Site: Columbia, SC
| | |
| 19-01306 | 03/02/2020 | Claimant(s): Thomas Domke
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Richard S. Zaifert
Hearing Site: Tampa, FL
| | Expungement |
| 19-00370 | 02/24/2020 | Claimant(s): Byron Minchala
Claimant Lawyers(s): Byron Alexander Minchala
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Richard S. Zaifert, Jack W. Windt, Audrey Belitz Rauchway
Hearing Site: Tampa, FL
| | |
