| 09-05684 | 04/29/2010 | Claimant(s): Laurens Hoppenbrouwer
Claimant Lawyers(s): Laurens M. Hoppenbrouwer
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Richard P. Regan
Hearing Site: Washington, DC
|  | $1,163 |
| 08-04107 | 04/05/2010 | Claimant(s): Alan Wein, Noele Wein, Nolan Services.
Claimant Lawyers(s): Michael B. Dubin
Respondent(s): Jeffrey Schrader, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano, Michael Kalmus
Arbitrator(s): Steven T. Stern, Dale A. Pope, David B. Harwi
Hearing Site: Philadelphia, PA
| | Expungement |
| 09-03712 | 01/25/2010 | Claimant(s): Phyllis M. Osler IRA Account, Genevieve Davidson Living Trust, John S. Osler Living Trust, Phyllis M. Osler Living Trust
Claimant Lawyers(s): John Osler
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Barry Goldman
Hearing Site: Detroit, MI
| | $0 |
| 08-04178 | 11/23/2009 | Claimant(s): David Schwinger
Claimant Lawyers(s): David Schwinger
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Mary E. Woytek, Paul A. Fischer, Heidi Markovitz
Hearing Site: Washington, DC
| | $25,200 |
| 04-08590 | 12/03/2008 | Claimant(s): Kenneth Dean
Claimant Lawyers(s): Kenneth Eugene Dean
Respondent(s): Davis Denny, UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano, Davis M. Denny, Randi Perry Spallina
Arbitrator(s): Michael Hendryx, Charles S. Chester, Sandra Lea McNally
Hearing Site: Houston, TX
| | $0 |
| 08-00746 | 08/11/2008 | Claimant(s): Edwin Lee, Michelle Lee
Claimant Lawyers(s): Edwin Lee
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Charles Ajamian
Hearing Site: Newark, NJ
| | $1,233 |
| 07-02031 | 07/15/2008 | Claimant(s): Osvaldo Alfonso
Claimant Lawyers(s): Osvaldo Alfonso
Respondent(s): Knickeita Vassel-Bullock, Merrill Lynch Pierce Fenner & Smith Inc., ICMA-RC Services
Respondent Lawyers(s): Angela A. Turiano, Jason Okera Keene
Arbitrator(s): Kimberly A. Gilmour, Adam Harrison Smith, Harold S. Stern
Hearing Site: Boca Raton, FL
| | $0 |
| 06-04981 | 01/22/2008 | Claimant(s): Charmaine M. and Nathan F. Sherrill
Claimant Lawyers(s): Robert L. Rolnick
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): James R. Augustine, Stacey L. Barnes, Charles Leonard Smith
Hearing Site: Houston, TX
| | $2,000 |
| 06-03597 | 11/06/2007 | Claimant(s): Estate of Vera L. Freeberg
Claimant Lawyers(s): Jay William Jacobus
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Herb Schwartz, Linda M. McCoy, Mark Aaron Jones
Hearing Site: San Francisco, CA
| | $0 |
