| 11-01948 | 10/16/2012 | Claimant(s): Michele Billings, Robert Billings
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): David P. Slater, Harold S. Stern, Fred Abramoff
Hearing Site: Ft. Lauderdale, FL
|  | $1,336,460 |
| 10-04928 | 10/15/2012 | Claimant(s): Michael Steifman
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Brian F. Amery
Arbitrator(s): Robert Pincus, James N. Baxter, Eugene G. P. Byrne
Hearing Site: New York, NY
| | $630,357 |
| 12-00065 | 10/10/2012 | Claimant(s): Arthur W. Curtis, Jr. Trust, Cynthia S. Curtis Trust
Claimant Lawyers(s): K. Michael Swann
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Thomas Joseph Atkinson, Daniel P. Lund, Robert M. Bath
Hearing Site: Orlando, FL
| | Expungement |
| 12-00737 | 09/27/2012 | Claimant(s): Evangelos Dimopoulos
Claimant Lawyers(s): Evangelos Dimopoulos
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Sharon Kurgis
Respondent Lawyers(s): Jill M. Del Monico
Arbitrator(s): Jerrold Levine
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 11-03974 | 09/25/2012 | Claimant(s): Bethel A.M.E. Church.
Claimant Lawyers(s): William S. Heyman
Respondent(s): Charlene Monts, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regin P. Martorana
Arbitrator(s): Richard E. Lauziere, Sandra Lee Dolan, Steven Irving Platt
Hearing Site: Baltimore, MD
| | Expungement |
| 08-02290 | 09/11/2012 | Claimant(s): Sophin Investments S.A.
Claimant Lawyers(s): Barry R. Fischer
Respondent(s): Ezequiel Nasser, Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Capital Services.
Respondent Lawyers(s): Daniel Goldstein, Dominick F. Evangelista, Kenneth I. Schacter
Arbitrator(s): Kenneth L. Lampert, Brian J. Burstin, Myron Kove
Hearing Site: New York, NY
| | $3,632,020 |
| 11-00939 | 09/06/2012 | Claimant(s): Jay Ash
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors, Merrill Lynch Pierce Fenner & Smith Inc., Ronald Lavo
Respondent Lawyers(s): Spencer Persson
Arbitrator(s): Doris V. Knotter, Sally G. Williams, Deanna Margaret Veitia
Hearing Site: San Diego, CA
| | Expungement |
| 10-05078 | 08/28/2012 | Claimant(s): MorseLife Foundation.
Claimant Lawyers(s): Steven M. Katzman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Bank & Trust Company, FSB
Respondent Lawyers(s): Richard L. Martens
Arbitrator(s): Roy B. Gonas, Jeanne Charles Wood, Sidney Turner
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-04476 | 08/17/2012 | Claimant(s): Debra Korbelik, Robert Korbelik, Brian Joseph Korbelik 2000 Trust, Brian Joseph Korbelik 2007 Trust, Debra A. Korbelik Trust, Jason Kyle Korbelik 2000 Trust, Jason Kyle Korbelik 2007 Trust, Robert B. Korbelik Trust
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): David Barberis, Gregory Richardson, Melissa Corrado Harrison, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce W. Day, Tara A. LaClair
Arbitrator(s): Gene R. Thornton, Donald N. Tolin, David L. Erickson
Hearing Site: Denver, CO
| | $0 |
| 11-01908 | 08/02/2012 | Claimant(s): Guadalupe Bernal
Claimant Lawyers(s): William J. Risner
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Casey L. Moore
Arbitrator(s): Robert S. Mautner
Hearing Site: Phoenix, AZ
| | $0 |
