21-02211 | 06/02/2022 | Claimant(s): Timothy O'Connor Claimant Lawyers(s): Brian Luther Respondent(s): Morgan Stanley DW Inc., Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Suzette J. Barnes, W. Preston Martin Arbitrator(s): Thomas P. Valenti Hearing Site: Chicago, IL
| | |
21-02048 | 04/21/2022 | Claimant(s): Guy Clayton Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX
| | |
21-01919 | 03/24/2022 | Claimant(s): Timothy Hilton Claimant Lawyers(s): Coren H. Stern Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Edmund Timothy Donovan Hearing Site: New York, NY
| | |
21-01904 | 02/04/2022 | Claimant(s): Robert Funk Claimant Lawyers(s): James P. Galvin Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Abe I. Borenstein, Robert E. Anderson, Alexander B Rubin Hearing Site: New York, NY
| | |
21-01551 | 01/18/2022 | Claimant(s): Dwayne Tidwell Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Stanford Group Company Respondent Lawyers(s): Ralph S. Janvey, Receiver, W. Preston Martin Arbitrator(s): Lynne M. Gomez, Maurice J. Fallas, William James Smith Hearing Site: Houston, TX
| | |
21-00784 | 12/07/2021 | Claimant(s): Archie Morris Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Harvey R. Linder Hearing Site: Atlanta, GA
| | |
21-00133 | 10/22/2021 | Claimant(s): James Atwood Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): David Wertz Ellis Hearing Site: Boston, MA
| | |
21-00720 | 10/07/2021 | Claimant(s): Tomoe Odahara Claimant Lawyers(s): Jordan D. Becker Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Susan C Lushing, Annamaria Boccia Smith, Mark Peter Haslinger Hearing Site: New York, NY
| | |
21-01338 | 09/28/2021 | Claimant(s): David Bunin Claimant Lawyers(s): Cynthia R. Moulton Respondent(s): Banc of America Investment Services Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Peter E. Gillespie Hearing Site: New York, NY
| | |
20-02842 | 05/07/2021 | Claimant(s): David Nethery Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Frances Johnson Wright Hearing Site: Dallas, TX
| | |