| 10-00622 | 04/18/2011 | Claimant(s): John McMickle
Claimant Lawyers(s): John H. McMickle
Respondent(s): George Moler, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Marie G. Peterson, Harvey Russell Preston, Doug Campbell
Hearing Site: Boca Raton, FL
|  | $0 |
| 09-06111 | 04/15/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Karen P. Gaster
Respondent(s): Carl Choy, Erin Choy, Lynn Kinney, Ronald Wo
Respondent Lawyers(s): Jerry M. Hiatt, Rex Y. Fujichaku, Susan M. Ichinose
Arbitrator(s): Herb Schwartz, Tobin B. Swanson, Richard Bruce Dole
Hearing Site: Honolulu, HI
| | $0 |
| 09-07161 | 03/31/2011 | Claimant(s): Mary Brandin, Mary Elliott Brandin Trust
Claimant Lawyers(s): John A. Klobasa
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Marilyn T. Selby, Robert J. Bohle, David B. Lacks
Hearing Site: St. Louis, MO
| | $470,500 |
| 09-05603 | 03/29/2011 | Claimant(s): Judy Calufetti
Claimant Lawyers(s): Russell L. Forkey
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Susan Gottlieb
Respondent Lawyers(s): Melinda Lucas Peevy
Arbitrator(s): Frances D. Sheehy
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 09-04750 | 03/28/2011 | Claimant(s): Francis Fry, Judith Fry
Claimant Lawyers(s): Anthony B Andrezeski
Respondent(s): Advest., George Dusckas, Merrill Lynch Pierce Fenner & Smith Inc., Banc Of America Securities Llc
Respondent Lawyers(s): Joseph P. Pohl
Arbitrator(s): Edward A. Grupp, William R. Gruver, Michael D. McDowell
Hearing Site: Pittsburgh, PA
| | $0 |
| 09-00830 | 03/10/2011 | Claimant(s): Dolores A. Smith Insurance & Associates
Claimant Lawyers(s): Brent A. Lorentz
Respondent(s): Kenneth Marchiol, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): J. Jackson, Jeffrey B. Kelvin
Arbitrator(s): Douglas J. Nesbit, Arlen G. Restad, Susan M. Barnes
Hearing Site: Minneapolis, MN
| | $0 |
| 09-04880 | 03/09/2011 | Claimant(s): Craig & Kathleen Juntunen Living Trust
Claimant Lawyers(s): Alan Gilmore
Respondent(s): Jeffry Korte, Merrill Lynch Pierce Fenner & Smith Inc., Richard Wilson
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Joe S. Tarrer, Cynthia B. Stone, Amy L. Wachs
Hearing Site: Phoenix, AZ
| | Expungement |
| 09-04732 | 03/08/2011 | Claimant(s): Damon Reel
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Phyllis Karasov, Julie A. Hennen, Frederick Ramos
Hearing Site: Rapid City, SD
| | Expungement |
| 10-02524 | 03/07/2011 | Claimant(s): Leonard Massello
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert Harris
Arbitrator(s): Edward R. Niederriter, Judith Kelner Chu, Steven E. Eisenberg
Hearing Site: Boca Raton, FL
| | $259,400 |
| 10-03896 | 03/02/2011 | Claimant(s): Ellen Jacob Custodian for John Fitsch
Claimant Lawyers(s): Ellen Jacob
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Eric P. Nachman
Hearing Site: New York, NY
| | $213 |
