| 13-01004 | 07/11/2014 | Claimant(s): Elias Abboud
Claimant Lawyers(s): Brett A. Datto
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Jill Leeds-Rivera, Catherine Stewart, Robert Alan Mayer
Hearing Site: Philadelphia, PA
|  | Expungement |
| 13-02907 | 07/08/2014 | Claimant(s): Russell Madris
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Susanne J. Hollander, Rodolfo C. Angulo, Dorota J. Trzeciecka
Hearing Site: Miami, FL
| | Expungement |
| 12-03948 | 05/05/2014 | Claimant(s): Estate of Matteo Mosca
Claimant Lawyers(s): Chad N. Cagan
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Edith M. Novack, Linda J. Baer, Sherrill Ruth Austin
Hearing Site: Newark, NJ
| | Expungement |
| 13-02201 | 03/26/2014 | Claimant(s): Joel Steinman
Claimant Lawyers(s): Joel Steinman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jill M. Del Monico
Arbitrator(s): Edith M. Novack
Hearing Site: Newark, NJ
| | $0 |
| 13-00646 | 01/30/2014 | Claimant(s): Robert Goll, The Pauline Goll Trust
Claimant Lawyers(s): August M. Iorio
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Stuart M. Schwartz
Hearing Site: Buffalo, NY
| | Expungement |
| 12-03730 | 12/27/2013 | Claimant(s): Hana Friedman
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Rocco Papandrea
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Sandra D. Parker, Lynne M. Reid-McQueen, Michael Jaffe
Hearing Site: New York, NY
| | Expungement |
| 12-03358 | 12/23/2013 | Claimant(s): Stuart Allen
Claimant Lawyers(s): James H. West
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ronald D. Smith
Arbitrator(s): Leon Fox, Pamela A. Kentra, Michael I. White
Hearing Site: Chicago, IL
| | Expungement |
| 11-04183 | 12/10/2013 | Claimant(s): Marques Douglas, Sparkle Douglas
Claimant Lawyers(s): Bruce E. Baldinger
Respondent(s): Charlene Monts, Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Financial Planning Group, Merrill Lynch Life Agency
Respondent Lawyers(s): Charlene Denise Monts, Regina P. Martorana
Arbitrator(s): Alan L. Berger, Celeste A. Beron, Michael J. Pasquale
Hearing Site: Charlotte, NC
| | Expungement |
| 10-03818 | 12/02/2013 | Claimant(s): Carey C. Steger, Estate Donald Campbell
Claimant Lawyers(s): Brian N. Smiley
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Chandler R Bridges, Harvey R. Linder, Mollie Wagner Neal
Hearing Site: Atlanta, GA
| | $0 |
| 12-02751 | 11/22/2013 | Claimant(s): Christopher Gaertner, Jacqueline Gaertner
Claimant Lawyers(s): David E. Bamberger
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John P. Bevilacqua
Arbitrator(s): Richard L. Rubin, Paul D. Gutierrez, Ronald Chun
Hearing Site: San Francisco, CA
| | Expungement |
