| 11-04509 | 10/31/2013 | Claimant(s): Gale A. Pfund and Margery S. Pfund
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Richard B. Bullock, Kenneth W. Gosliner, Alden Sharp Adkins
Hearing Site: San Francisco, CA
|  | Expungement |
| 12-02000 | 10/01/2013 | Claimant(s): LaVerne Coalson, Coalson Insurance Trust U/A 7/9/99
Claimant Lawyers(s): Clinton W. Marrs
Respondent(s): Donny Vogler, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Rodney J. Heggy
Arbitrator(s): Bill M. Lamoreaux, Linda B. Kelly, Frances Johnson Wright
Hearing Site: Dallas, TX
| | $1,198,440 |
| 10-04168 | 09/18/2013 | Claimant(s): Julio Paniagua, Maria Paniagua
Claimant Lawyers(s): Carlos B. Castillo
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Gerald Silverman
Hearing Site: Miami, FL
| | Expungement |
| 12-02652 | 09/06/2013 | Claimant(s): Irene Resnick, U/A DTD 7/2/91 by Irene Resnick
Claimant Lawyers(s): Jeffrey Pederson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): James B. Eichberg
Hearing Site: Denver, CO
| | Expungement |
| 13-00185 | 07/26/2013 | Claimant(s): Nancy Bold
Claimant Lawyers(s): William B. Young
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): Thomas Joseph Atkinson
Hearing Site: Orlando, FL
| | Expungement |
| 11-04283 | 07/25/2013 | Claimant(s): Craig Bollman, Aristek Properties, Homefree Village Resorts., Monte Vista, Proteus Associates
Claimant Lawyers(s): Jeffrey J. Scott, Richard J. Pocker
Respondent(s): Marshall Blake, Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah R. Wolff
Arbitrator(s): Richard M. Reider, Donald N. Tolin, Suanne M. Parro
Hearing Site: Denver, CO
| | Expungement |
| 11-03960 | 07/15/2013 | Claimant(s): Marsha Sinzheimer
Claimant Lawyers(s): William Paul Nolan
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Charles Kleinbaum, Michael H. DuBoff, Mae A. Brudner
Hearing Site: New York, NY
| | Expungement |
| 12-01582 | 07/02/2013 | Claimant(s): Luis Rojas
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Sandra Caldera
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Myron E. Levenson, Will Murphy, Soraya Maria Figueiredo
Hearing Site: Miami, FL
| | Expungement |
| 11-04657 | 06/26/2013 | Claimant(s): Mildred Pitchon
Claimant Lawyers(s): G. Martin Meyers
Respondent(s): David Donovan, Citigroup Global Markets., Morgan Stanley, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Adam Kauff, Angela T. Turiano
Arbitrator(s): Steven David Leader, Keith Roberts, Robert Bartels
Hearing Site: New York, NY
| | Expungement |
| 12-02509 | 06/20/2013 | Claimant(s): Richard Shepherd
Claimant Lawyers(s): J. A. Kiernander
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Allan E. Johnson
Hearing Site: New York, NY
| | $0 |
