| 16-00810 | 07/11/2017 | Claimant(s): William Mixson
Claimant Lawyers(s): William Mixson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michelle Wilder
Respondent Lawyers(s): Beecher A. Larson, Bruce W. Day
Arbitrator(s): Mark R. Topper
Hearing Site: Orlando, FL
|  | $0 |
| 16-02520 | 06/29/2017 | Claimant(s): Joan Haevernick
Claimant Lawyers(s): Linda Tran
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Steven Quinly
Respondent Lawyers(s): Denver G. Edwards
Arbitrator(s): Herbert Liberman
Hearing Site: San Francisco, CA
| | $0 |
| 14-02122 | 05/22/2017 | Claimant(s): Aida Mancini, Conchita Rivera, Joaqmar.
Claimant Lawyers(s): Francisco Pujol, Harold D. Vicente-Colon
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Frank J. Cuccio, Matthew C. Plant
Arbitrator(s): Monroe Mitchel, Keith L. Saunders, Robert Stewart Barney
Hearing Site: San Juan, PR
| | Expungement |
| 16-00570 | 05/11/2017 | Claimant(s): Paul Brown
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey
Arbitrator(s): Joseph C. Roberts, Clydia Jean Cuykendall, Kenneth James Pedersen
Hearing Site: Seattle, WA
| | Expungement |
| 16-00707 | 04/20/2017 | Claimant(s): Michael Lebner, Patricia Lebner
Claimant Lawyers(s): Adam Gana
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Ericka B. Gray, Denise L. Presley, Christopher William McHallam
Hearing Site: Boston, MA
| | Expungement |
| 16-00246 | 04/04/2017 | Claimant(s): George Wood
Claimant Lawyers(s): Scott Fink
Respondent(s): Heather Weber, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Melinda S. Milberg, Denise L. Presley, John Francis Markuns
Hearing Site: Boston, MA
| | Expungement |
| 16-02745 | 03/21/2017 | Claimant(s): Bo Young Oh
Claimant Lawyers(s): Bo Young Oh
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
| | $0 |
| 16-00220 | 03/07/2017 | Claimant(s): Deborah Pfeiffer, Virginia M. Pizzi Trust
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Martorana
Arbitrator(s): David F. Simon, Millicent B. Athanason, Brian Patrick Quinn
Hearing Site: Tampa, FL
| | Expungement |
| 14-01936 | 03/06/2017 | Claimant(s): Luis Gil-Quintero, Miriam Falero-Gil
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Edward R. Niederriter, James F. Major, Debra Black Leo
Hearing Site: San Juan, PR
| | $0 |
| 16-00080 | 03/02/2017 | Claimant(s): Malcom Blankenship
Claimant Lawyers(s): Malcom B. Blankenship
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey
Arbitrator(s): Robert H. Putnam
Hearing Site: Charlotte, NC
| | Expungement |
