| 14-02984 | 10/17/2016 | Claimant(s): Jean Kulsrud
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Lavon C. Phillips, Phyllis Karasov, Frank Abramson
Hearing Site: Minneapolis, MN
|  | Expungement |
| 15-00268 | 10/14/2016 | Claimant(s): Bradley Finegold
Claimant Lawyers(s): Albert M. Kun
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Thomas White
Respondent Lawyers(s): Spencer Persson
Arbitrator(s): Linda M. McCoy, Dean J. Dietrich, Brandon Keith Hemley
Hearing Site: San Francisco, CA
| | $0 |
| 14-03246 | 10/11/2016 | Claimant(s): Emil Soltis
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Theresa R. Joyner, Morton S. Bunis, Ariel Berschadsky
Hearing Site: Newark, NJ
| | Expungement |
| 16-00467 | 10/10/2016 | Claimant(s): Harold Sherman
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley & Co., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest, Timothy B. Atkins
Arbitrator(s): Marc T. Danon, Raymond E. Cornelius, Richard Merritt Langway
Hearing Site: Orlando, FL
| | Expungement |
| 14-02430 | 09/06/2016 | Claimant(s): Michael Consolo
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Michael Nathanson, Raymond P. Buschmann
Hearing Site: Chicago, IL
| | Expungement |
| 15-01408 | 08/02/2016 | Claimant(s): Randi Dukoff
Claimant Lawyers(s): Timothy J. O'Connor, Esq.
Respondent(s): Joel Joachim, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 14-03676 | 08/02/2016 | Claimant(s): Earl Schlegel, Virginia Schlegel
Claimant Lawyers(s): Earl J. Schlegel
Respondent(s): Ann Hollis, Merrill Lynch Pierce Fenner & Smith Inc., Mitzi Michaelson
Respondent Lawyers(s): Alex Sabo
Arbitrator(s): Martin M. Van Luven
Hearing Site: Jacksonville, FL
| | $0 |
| 14-02694 | 07/15/2016 | Claimant(s): Larry and Carol Wiles, ATBE
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Steven M. Feder, Richard J. Lawrence, Wylie G. Hairgrove
Hearing Site: Denver, CO
| | Expungement |
| 14-01580 | 06/29/2016 | Claimant(s): Noor Barsar
Claimant Lawyers(s): Jared Levy
Respondent(s): Wells Fargo Advisors, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joelle A. Simms, Patricia E. Cowart
Arbitrator(s): Marc T. Danon, Carl Shechter, Herbert Branitsky
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-02333 | 06/28/2016 | Claimant(s): Cheney Ranch, Singing Sage, Andrew Den Hoed, Sr. and Marie Den Hoed
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Joseph Gazes, Merrill Lynch Pierce Fenner & Smith Inc., Phil Scott
Respondent Lawyers(s): Ira G. Rosenstein, Timothy P. Burke
Arbitrator(s): Stephany Adriene Watson, Linda I. Thomas, Joseph Lincoln Carman
Hearing Site: Seattle, WA
| | Expungement |
