| 15-00661 | 02/26/2016 | Claimant(s): Robert Flemming and Josephine Flemming
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Patrick R. Westerkamp, Esq.
Hearing Site: Philadelphia, PA
|  | Dismissed by Rule 12206 |
| 15-01084 | 02/16/2016 | Claimant(s): Barbara Schroeder, Stefan Kreuzer, BAPG Partnership Ltd.
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Rogala
Respondent Lawyers(s): Nick Hendrix
Arbitrator(s): Sherry R. Wetsch, Philip I. McConnell, Jeffrey R. Jury
Hearing Site: Houston, TX
| | Expungement |
| 14-00091 | 02/09/2016 | Claimant(s): Rodney Shuck, April C. Shuck JTWROS w/Rodney Shuck
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Robert Charkovsky, William P. Loughnane, Marcus G. Lashley
Hearing Site: Norfolk, VA
| | Expungement |
| 14-03589 | 01/26/2016 | Claimant(s): Estate of Doris Sharp
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): David Ludwig, Leif Oksenvaag, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Roxanne Sheehan
Arbitrator(s): Robert E. Meston, Philip E. Cutler, Craig Charles Beles
Hearing Site: Seattle, WA
| | Expungement |
| 15-00806 | 01/15/2016 | Claimant(s): David Kabel, Julie Kabel
Claimant Lawyers(s): Julie Kabel
Respondent(s): Helen Wathen, Michael Armondo, Merrill Lynch Pierce Fenner & Smith Inc., Travis Taylor
Respondent Lawyers(s): Roxanne Sheehan
Arbitrator(s): Robert J. Gregory
Hearing Site: Dallas, TX
| | $0 |
| 14-03213 | 12/30/2015 | Claimant(s): Kenneth Hunt, Sharon Poulton, Kenneth Hunt Revocable Trust U/A dtd 11/, Sharon Poulton Revocable Trust
Claimant Lawyers(s): Jonathan Evans
Respondent(s): Jeffrey Fratarcangeli, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Brandon Reif, Eric A. Herzog
Arbitrator(s): Chester L. Firestein, Richard M. Norman, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-01433 | 12/24/2015 | Claimant(s): Kevin Strahan
Claimant Lawyers(s): Steven D Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): John F. Allgood, Carleton E. Blankenburg, Bruce W. Bennett
Hearing Site: Atlanta, GA
| | Expungement |
| 14-02502 | 12/17/2015 | Claimant(s): Michael Cordova
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Ian S. Greig, Lauren S. Puritz, Robert Wallace Rasch
Hearing Site: Orlando, FL
| | Expungement |
| 13-03769 | 12/15/2015 | Claimant(s): Kenneth Alexon
Claimant Lawyers(s): Steven Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Brett W. Olander, Jo Anne F. Lewellen, Steven Eric Brandes
Hearing Site: Minneapolis, MN
| | Expungement |
| 14-00151 | 12/15/2015 | Claimant(s): Eva C. Sarraga-Venegas, Ben. of Est. of, Jose F. Sarraga-Venegas, Exec/Ben.,Est., Laura I. Sarraga-Venegas, Ben. of Est. o
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Steven P. Gregory, Carolyn E. Moore, Alan M. Holzberg
Hearing Site: San Juan, PR
| | Expungement |
