| 09-03931 | 10/03/2011 | Claimant(s): Lulu Coffey, Robert Coffey, Robert & Lulu Coffey Living Trust dd 11/, Scott P. Keil Trust U/W, FBO Douglas Kei
Claimant Lawyers(s): David Harrison
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth C. Mennemeier
Arbitrator(s): John Alen DeRosa, Madeleine Kleinman, Melvin S. Feldman, Adam Michael Porter, Marc S. Joseph, Christopher L. Mass
Hearing Site: Los Angeles, CA
|  | $0 |
| 09-06910 | 09/22/2011 | Claimant(s): Santanna Natural Gas Corporation
Claimant Lawyers(s): Benjamin H. Hathaway
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Scott Branson
Respondent Lawyers(s): Michael A. Rodriguez
Arbitrator(s): David G. Beerbower, William Edward Buck, Selenne Calhamer
Hearing Site: Houston, TX
| | Expungement |
| 10-04129 | 09/20/2011 | Claimant(s): Nua Shala, ARI International., ORA Business Services.
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Robert Silva
Respondent Lawyers(s): Matthew C. Applebaum, Robert Scott Silva
Arbitrator(s): Vicki Z. Holleman, Judith Fields Jurney, Lincoln W. Craighead
Hearing Site: New York, NY
| | $0 |
| 09-05271 | 09/19/2011 | Claimant(s): Gerald Prud-homme & Barbara Prud'homme
Claimant Lawyers(s): Fred S. Clark
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Donald F. Winningham
Arbitrator(s): James C. Hoover
Hearing Site: Columbia, SC
| | $0 |
| 10-02529 | 09/16/2011 | Claimant(s): Robert Jones, Vera Jones
Claimant Lawyers(s): David Gaba
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Nancy E. Hochman, Clifford N. Coury, Gregory N. Smith
Hearing Site: Boise, ID
| | $0 |
| 10-01604 | 09/06/2011 | Claimant(s): Connie Hage
Claimant Lawyers(s): Steve Virgil
Respondent(s): Larry James, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrea M. Greene, Kathryn L. Dietrich
Arbitrator(s): Carl F. Bowmer
Hearing Site: Raleigh, NC
| | $0 |
| 10-02338 | 09/02/2011 | Claimant(s): Stephen Rowland
Claimant Lawyers(s): Christopher W. Madel
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bryan I. Reyhani
Arbitrator(s): Edward C. Oliver, Joan L. Volz, JD Haas
Hearing Site: Minneapolis, MN
| | $50,000 |
| 10-03587 | 08/19/2011 | Claimant(s): Cindy Tronsrue, Florence Tronsrue, George Tronsrue, Nancy Frei, Jericho Fund
Claimant Lawyers(s): Donald H. Mullins
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Phil Scott
Respondent Lawyers(s): Nathan T. Alexander
Arbitrator(s): Joseph C. Roberts, Peter L. Sill, Ronald E. Lorentsen
Hearing Site: Seattle, WA
| | $0 |
| 10-02489 | 08/09/2011 | Claimant(s): The Estate of Charles Daniels, Charles Daniels Trust, Daniels Family Trust
Claimant Lawyers(s): Thomas O'Connor
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., William Tomes
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Robert F. Sanville, Vernon C. Walker, John W. Lear
Hearing Site: Philadelphia, PA
| | Expungement |
| 08-01087 | 08/09/2011 | Claimant(s): Deborah Carroway, Gail Abdelnour, Michael Carroway & Robert James Carroway, James and Odette Abdelnour, Michael and Roslyn Abdelnour
Claimant Lawyers(s): Philip M. Giordano
Respondent(s): Joseph Crespi, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Brian Ellis
Arbitrator(s): Peter Svorinic, James R. Collins, Roger Carl Markhus
Hearing Site: Boston, MA
| | $0 |
