| 14-01946 | 04/30/2018 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Edward J. Heffernan
Respondent(s): Miguel Ballestas
Respondent Lawyers(s): Jarrod J. Malone
Arbitrator(s): Joel H. Holzer, Lawrence S. Silver, Herbert Branitsky
Hearing Site: Ft. Lauderdale, FL
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| 15-00622 | 12/02/2016 | Claimant(s): Michael Phillip
Claimant Lawyers(s): Robert J. Girard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Respondent Lawyers(s): Edward J. Heffernan
Arbitrator(s): A. Joel Klein, Steven A. Wawra, Rosa Linda Guadarrama
Hearing Site: Los Angeles, CA
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| 15-02656 | 04/22/2016 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Janelle E. Fulton
Respondent(s): Robert Gutner
Respondent Lawyers(s): Robert Lloyd Gutner
Arbitrator(s): George G. Kurschner
Hearing Site: Boca Raton, FL
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| 13-03494 | 08/19/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Joseph L. Gordon
Respondent(s): Michael Climer
Respondent Lawyers(s): Michael Wayne Climer
Arbitrator(s):
Hearing Site: Charlotte, NC
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| 12-02692 | 12/20/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Edward G. Winsman
Respondent(s): Seth Goldberg
Respondent Lawyers(s): Mark Chester
Arbitrator(s): Bruce R. Heurlin
Hearing Site: Phoenix, AZ
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| 12-02275 | 12/05/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance, In
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Robert Moore
Respondent Lawyers(s): Robert H. Moore
Arbitrator(s): Nancy Kramer
Hearing Site: New York, NY
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| 13-01055 | 11/01/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Alexander J. Nassar
Respondent(s): Daniel Staples
Respondent Lawyers(s): Daniel Warren Staples
Arbitrator(s): James Miles Goodwin
Hearing Site: Milwaukee, WI
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| 12-00152 | 07/26/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Jason K. Roberts
Respondent(s): Danford Meischen
Respondent Lawyers(s): J.B. Trey Henderson
Arbitrator(s): Daniel J. Pagnano, Nichole C. Ake, Clark Willis Richards
Hearing Site: Houston, TX
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| 09-05899 | 06/03/2013 | Claimant(s): Paul Gomez
Claimant Lawyers(s): Aimee E. Dominguez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Respondent Lawyers(s): Andrew M. DeLucia, Michael J. Fortunato
Arbitrator(s): Laurent C. Vonderweidt, Joan Clay Manley, Frank Centofanti
Hearing Site: Los Angeles, CA
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| 12-01128 | 04/03/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Rachael Carp
Respondent(s): Amy Notermann
Respondent Lawyers(s): Amy Notermann
Arbitrator(s): Douglas J. Nesbit
Hearing Site: Minneapolis, MN
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