| 09-07147 | 03/01/2011 | Claimant(s): Martin Hauptman
Claimant Lawyers(s): Adolph D. Seltzer
Respondent(s): Jeffrey Alexander, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Robert L. Salzberg, Robert M. Goldstein, Nicholas Brunero
Hearing Site: New York, NY
|  | $0 |
| 09-02727 | 02/28/2011 | Claimant(s): Ronald Woolworth
Claimant Lawyers(s): Randy J. Aliment
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth C. Mennemeier
Arbitrator(s): Robert M. Stein, Clarence F. Roed, Sally Phillips Pasette
Hearing Site: Seattle, WA
| | $0 |
| 09-05535 | 02/22/2011 | Claimant(s): Maria Thornton
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): John P. Cullem, Constance d'Angelis, Howard L. Hill
Hearing Site: Tampa, FL
| | $25,200 |
| 08-04427 | 02/18/2011 | Claimant(s): TGS-NOPEC Geophysical Company
Claimant Lawyers(s): Todd A Higgins
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Timothy P. Burke
Arbitrator(s): Arno C. Schwethelm, Larry J. Craddock, Martin Epner
Hearing Site: Houston, TX
| | $525,000 |
| 09-05842 | 02/17/2011 | Claimant(s): Bob Starnes, The Starnes Family Trust dated 6/25/96
Claimant Lawyers(s): Jeffrey P. Coleman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew N. Thibaut
Arbitrator(s): William H. Fleece, Nicholas G. Dukas, Andrea Bailey
Hearing Site: Tampa, FL
| | $131,000 |
| 09-05487 | 02/09/2011 | Claimant(s): Doreen Solazzo
Claimant Lawyers(s): George L. Mahr
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Barry S. Gold
Arbitrator(s): Richard D. DeVita, Simone A. Muscarnera, Timothy Mark Jayne
Hearing Site: Newark, NJ
| | Expungement |
| 10-01172 | 01/24/2011 | Claimant(s): Thomas Muecke
Claimant Lawyers(s): Debra Brewer Hayes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Charles A. Gall
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
| | $0 |
| 09-04369 | 01/10/2011 | Claimant(s): Eric Besag, Eric T. Besag Living Trust
Claimant Lawyers(s): Mitchell S. Ostwald
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Robert M. Lubin
Hearing Site: San Francisco, CA
| | $0 |
| 10-01151 | 12/31/2010 | Claimant(s): Aydee Ospina
Claimant Lawyers(s): V. Michael Arias
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Carl Shechter
Hearing Site: Boca Raton, FL
| | $40,150 |
| 09-06107 | 12/31/2010 | Claimant(s): Abdallah Bseirani
Claimant Lawyers(s): Janice L. Malecki
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Timothy P. Burke
Arbitrator(s): Patrick M. Markey, Daniel M. Mankowski, Denise L. Quarles
Hearing Site: Syracuse, NY
| | $0 |
