| 10-01074 | 09/22/2010 | Claimant(s): PCG Management
Claimant Lawyers(s): James D. Gaberino
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Genna Stephens
Arbitrator(s): T. E. Jaeb
Hearing Site: Dallas, TX
|  | $0 |
| 09-03649 | 09/17/2010 | Claimant(s): Summit Oak
Claimant Lawyers(s): Ralph R. Safford
Respondent(s): Kenneth Jones, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Todd A. Holleman
Arbitrator(s): Barry Goldman, Jennifer Ann Shandler, Paul Sislin
Hearing Site: Detroit, MI
| | $0 |
| 09-04184 | 08/23/2010 | Claimant(s): Derrick Nesbitt
Claimant Lawyers(s): Brian K. Hilliard
Respondent(s): Frankie Ross, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Jerold R. Babin, William W. Haskell, M. Scott Donahey
Hearing Site: San Francisco, CA
| | $0 |
| 09-03317 | 07/26/2010 | Claimant(s): Barbara Hager, Robert Hager, Robert J. Hager and Barbara R. Hager
Claimant Lawyers(s): Robert K. Savage
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Ronald H. Walton, Frank Brenner, Elizabeth A. Townes
Hearing Site: Tampa, FL
| | $0 |
| 09-02644 | 07/23/2010 | Claimant(s): Michael Jamail
Claimant Lawyers(s): George Michael Jamail
Respondent(s): Byron Meads, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ellen B. Sessions
Arbitrator(s): Kathy R. Holler, Sherry R. Wetsch, Brian James Tagtmeier
Hearing Site: Houston, TX
| | $0 |
| 10-00034 | 07/22/2010 | Claimant(s): Stephen L. Halpern Profit Sharing Plan
Claimant Lawyers(s): Stephen L Halpern
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): W. Alex King
Hearing Site: Los Angeles, CA
| | $0 |
| 09-03329 | 07/15/2010 | Claimant(s): Maria Guajardo, Samir Chaman
Claimant Lawyers(s): Patrick J Kanouff
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Charles A. Gall
Arbitrator(s): Gregory D. Thomas, Paul A. Krepinski, David L. Erickson
Hearing Site: Denver, CO
| | $500,000 |
| 09-01490 | 07/09/2010 | Claimant(s): Connecticut College
Claimant Lawyers(s): James T. Shearin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): June Y. Kilmarx, Sean Michael Peoples, James J. Gadarowski
Hearing Site: New London, CT
| | $363,503 |
| 09-04606 | 07/02/2010 | Claimant(s): Anne Carmichael, Rev. Trust of Donald Carmichael
Claimant Lawyers(s): Adam T. Rabin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patricia Morales Christiansen
Arbitrator(s): Steven Gerard Goerke, Mark T. Burnam, Marc Scott Shapiro
Hearing Site: Boca Raton, FL
| | $90,000 |
| 09-03601 | 06/14/2010 | Claimant(s): Jack Lang, Tina Lang, The Jack A. & Tina L. Lang Family Trust
Claimant Lawyers(s): Holly C. Hamm, Ross Spence
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Lacey, Merrill Lynch Life Agency Inc.
Respondent Lawyers(s): Joseph L. Hood
Arbitrator(s): Mica T. Duncan, Joe S. Tarrer, Richard L. Merkel
Hearing Site: Albuquerque, NM
| | $100,000 |
