| 11-01060 | 07/27/2012 | Claimant(s): Renee Alster
Claimant Lawyers(s): Michael P. Amad
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): Monica I. Salis, Edward R. Niederriter, Antonio M. Freire
Hearing Site: Boca Raton, FL
|  | Expungement |
| 10-02406 | 06/29/2012 | Claimant(s): David Schanin, Susan Schanin
Claimant Lawyers(s): Stuart Pack
Respondent(s): Katherine Larsen, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ronald D. Smith
Arbitrator(s): Federico C. Alvarez, Kenneth Harry Combs, Baldwin Ranson
Hearing Site: Denver, CO
| | Expungement |
| 10-03885 | 06/28/2012 | Claimant(s): Jeffrey Colflesh, Lora Colflesh, Jeffrey Colflesh IRA, Lora Colflesh IRA, Colflesh Trusts
Claimant Lawyers(s): James R. Walsh
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Stacy Grant
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Richard L. Rubin, Jerold R. Babin, Mark R. Topper
Hearing Site: San Francisco, CA
| | Expungement |
| 11-01972 | 05/29/2012 | Claimant(s): Bill Loomis, Sharon Loomis, Bill Loomis IRRA
Claimant Lawyers(s): Chris Bell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Casey L. Moore
Arbitrator(s): Juanita D. McKethan, Larry J. Craddock, Martin Epner
Hearing Site: Houston, TX
| | Expungement |
| 11-01766 | 05/09/2012 | Claimant(s): Karen O'Neill, Timothy O'Neill
Claimant Lawyers(s): Leonard J. Meyer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Thomas M. Gregor
Arbitrator(s): Jerry C. Prestridge
Hearing Site: Houston, TX
| | $96,825 |
| 11-00681 | 04/26/2012 | Claimant(s): Beth Turkel
Claimant Lawyers(s): Richard De Vita
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David G. Buffa
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | Expungement |
| 09-03972 | 04/20/2012 | Claimant(s): Peter Graham Lee & Jennifer Patricia Lee
Claimant Lawyers(s): Steven D Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Berthold T. Berkwich, Harold S. Stern, Stuart Harvey Ziegler
Hearing Site: Boca Raton, FL
| | $0 |
| 11-00974 | 03/29/2012 | Claimant(s): Chris Funnell
Claimant Lawyers(s): David Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Nikolas Komyati
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | Expungement |
| 10-04435 | 03/09/2012 | Claimant(s): Arthur M. Coppola TTEE, Arthur M. Coppola Trust U/A DTD 09/04/96
Claimant Lawyers(s): Charles W. Gameros, David Reese Clouston
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Bank USA
Respondent Lawyers(s): Ellen B. Sessions
Arbitrator(s): Edwin J. Tomko, Stephen L. Avard, Jeffrey Richard Chiappetta
Hearing Site: Dallas, TX
| | $0 |
| 10-05031 | 02/23/2012 | Claimant(s): Jeffrey & Cheryl Lane Family Trust
Claimant Lawyers(s): Jeffrey Lane
Respondent(s): Brandon Mallette, Louie Vargas, Merrill Lynch Pierce Fenner & Smith Inc., Michael Tiedemann, Paul Wetmore, Sheila Carlson, Lord Abbett Distributor LLC
Respondent Lawyers(s): John P. Bevilacqua, John Beviliqua, Joshua Hess, Matthew L. Larrabee
Arbitrator(s): Mario H. Metzger, George L. Tindall, Robert Alan Merring
Hearing Site: Los Angeles, CA
| | $0 |
