| 07-03395 | 02/04/2009 | Claimant(s): Jean Nilsson
Claimant Lawyers(s): Paul Sabia
Respondent(s): Anthony Czarzasty, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Lauryn J. Hart
Arbitrator(s): William I. Carmen
Hearing Site: Hartford, CT
|  | Stipulated Award and Expungement |
| 06-02419 | 01/27/2009 | Claimant(s): Lucile D. Wulff Trust Account
Claimant Lawyers(s): Francine Falcier Antell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Nancy Gray, Ted Candella
Respondent Lawyers(s): Katherine M. McGrail
Arbitrator(s): William H. Morley, Joseph H. Cerame, Joseph La Rosa
Hearing Site: New York, NY
| | $0 |
| 08-01799 | 01/27/2009 | Claimant(s): Alice Perdue
Claimant Lawyers(s): Alice Perdue
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Lori Ann Romeo
Hearing Site: New York, NY
| | $0 |
| 08-00767 | 12/04/2008 | Claimant(s): John A. and Georgene M. Caruso
Claimant Lawyers(s): Russell F. Waxman
Respondent(s): Wachovia Securities, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Alan Rafterman, Coren H. Stern
Arbitrator(s): Matthew Loguercio, Roy L. Weiss, William P. Laino
Hearing Site: New York, NY
| | $0 |
| 07-02363 | 12/03/2008 | Claimant(s): Robert Roulette, Sharon Roulette
Claimant Lawyers(s): R. George Burnett
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Gordon B. Shneider, Donald V. Anderson, Mark A. Frankel
Hearing Site: Milwaukee, WI
| | $25,840 |
| 08-01247 | 12/03/2008 | Claimant(s): Kimberly Ohl, William Ohl, II
Claimant Lawyers(s): William C. Ohl
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Ray Kinnard
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Richard D. Fincher
Hearing Site: Phoenix, AZ
| | $6,809 |
| 04-08590 | 12/03/2008 | Claimant(s): Kenneth Dean
Claimant Lawyers(s): Kenneth Eugene Dean
Respondent(s): Davis Denny, UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano, Davis M. Denny, Randi Perry Spallina
Arbitrator(s): Michael Hendryx, Charles S. Chester, Sandra Lea McNally
Hearing Site: Houston, TX
| | $0 |
| 07-02971 | 11/25/2008 | Claimant(s): Gail Berger
Claimant Lawyers(s): Lee H. Tockman
Respondent(s): Delmar Austin, Kenneth Rohr, Merrill Lynch Pierce Fenner & Smith Inc., Nora Winsberg, Timothy Cunningham
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Michael S. Matek, Frederic M. Rizzo, Irving A. Chesler
Hearing Site: Chicago, IL
| | $0 |
| 08-01310 | 11/17/2008 | Claimant(s): Martha Schallern
Claimant Lawyers(s): Martha L. Schallern
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Susan Morris
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Helen E. Huyler
Hearing Site: Atlanta, GA
| | $4,389 |
| 06-01748 | 11/14/2008 | Claimant(s): Joy Phillips
Claimant Lawyers(s): Thomas C. Jardim
Respondent(s): Joseph Murphy, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David J. Libowksy
Arbitrator(s): Charles L. Prothero, Irene C. Warshauer, Erica Levitt
Hearing Site: Newark, NJ
| | $4,977 |
