| 18-02371 | 07/14/2022 | Claimant(s): Anil Bhandari
Claimant Lawyers(s): Rishi Bhandari
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Yvette Strong, John Franklin Udochi, Brian John Gallagher
Hearing Site: New York, NY
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| 21-01920 | 03/11/2022 | Claimant(s): Alicia Hinojosa Gutierrez
Claimant Lawyers(s): Daniel J. Kaiser
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Judith C. Zerden, Phillip Weitzman, Serge Krimnus
Hearing Site: New York, NY
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| 21-01164 | 02/22/2022 | Claimant(s): Stephen Brown
Claimant Lawyers(s): Craig Stein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): William Kent Brown, Will Murphy, Tina Scott Polsky
Hearing Site: Boca Raton, FL
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| 21-00834 | 12/20/2021 | Claimant(s): Robert Yahney
Claimant Lawyers(s): Daniel P. Dietrich
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Thomas J. Patka
Hearing Site: Tampa, FL
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| 21-00117 | 11/11/2021 | Claimant(s): Baerbel O'Haire
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
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| 20-03552 | 09/24/2021 | Claimant(s): Ian Rodgers
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Donald Dreyfus
Hearing Site: Phoenix, AZ
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| 20-03165 | 09/23/2021 | Claimant(s): Vincent Panizzi
Claimant Lawyers(s): Harry Meyer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Detroit, MI
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| 21-00516 | 08/12/2021 | Claimant(s): Jennifer Duncan
Claimant Lawyers(s): Ann Sullivan
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Richard James Igou
Hearing Site: Richmond, VA
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| 20-02901 | 07/20/2021 | Claimant(s): Scott Allen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Terry M Lloyd
Hearing Site: Salt Lake City, UT
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| 20-03124 | 06/14/2021 | Claimant(s): Thomas Conway
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
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