| 11-00867 | 12/11/2012 | Claimant(s): Clair Couturier
Claimant Lawyers(s): Bradley B. Jones
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Walter Schlaepfer aka Phil Scot
Respondent Lawyers(s): Nathan T. Alexander
Arbitrator(s): Robert E. Meston, Craig Charles Beles, Ann Sattler
Hearing Site: Seattle, WA
|  | $1,714,480 |
| 11-02971 | 12/11/2012 | Claimant(s): David Baratko
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Meredith Sharoky
Arbitrator(s): William E. Smith, Timothy J. Brown, S. Charles Tabak
Hearing Site: Newark, NJ
| | Expungement |
| 11-04729 | 12/10/2012 | Claimant(s): David Holtzman and Susan Holtzman
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrea Morgan Greene
Arbitrator(s): Edith M. Novack
Hearing Site: Newark, NJ
| | Expungement |
| 11-02239 | 12/04/2012 | Claimant(s): Donna Jurena, William Jurena
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Alexander B. Feinberg
Arbitrator(s): James R. McGuone, Arthur P. Barry, Jerome Jack Shure
Hearing Site: Atlanta, GA
| | Expungement |
| 11-00618 | 11/28/2012 | Claimant(s): Denise Rotolante
Claimant Lawyers(s): Allan P. Whitehead
Respondent(s): Benjamin Buchanan, Southwest Securities., Mark Grant, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Gary Irwin, Julie Wilson Portera
Arbitrator(s): John P. Cullem, Larry G. Kjosa, Thomas Joseph Atkinson
Hearing Site: Orlando, FL
| | $49,375 |
| 10-01665 | 11/27/2012 | Claimant(s): Sharda Motwani, Virumal Motwani
Claimant Lawyers(s): Virumal Motwani
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Katherine Jane Morris, Evan A. Gould, Seth Schwartz
Hearing Site: San Diego, CA
| | Expungement |
| 11-04821 | 11/21/2012 | Claimant(s): James Leiphardt, Peggy Leiphardt
Claimant Lawyers(s): Eric A. Woosley
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kamao C. Shaw
Arbitrator(s): Nancy G. Harris
Hearing Site: Los Angeles, CA
| | $50,000 |
| 11-02536 | 11/20/2012 | Claimant(s): Martha Rudnick
Claimant Lawyers(s): Gary Menzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Saly Glassman
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): John E. Sutton, Harold S. Stern, Peter A. Portley
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-00384 | 11/20/2012 | Claimant(s): Justin Paperny
Claimant Lawyers(s): Brian D Boydston
Respondent(s): Christine Kreps, Damon Johnson, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David Maurer, Eric A. Herzog
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-01283 | 10/18/2012 | Claimant(s): Milan Chilla
Claimant Lawyers(s): Milan E. Chilla
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Hassan A. Abedi
Arbitrator(s): Anna Lascar
Hearing Site: New York, NY
| | $0 |
