| 18-02661 | 02/12/2021 | Claimant(s): Louis Maryland, Louis Maryland Trust Estate, Louis Maryland Sec. 142 Trust
Claimant Lawyers(s): Craig K. Hemphill
Respondent(s): Julia Klammer, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Evan Way
Arbitrator(s): Daniel J. Pagnano, William Walter Cathriner, Tracie Jackson
Hearing Site: Houston, TX
|  | Expungement |
| 19-01170 | 01/08/2021 | Claimant(s): Stuart Beinhacker
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Clarence Smith, Donna Christina Chin, Elisse R. Stern
Hearing Site: New York, NY
| | Expungement |
| 18-02235 | 12/21/2020 | Claimant(s): Carlos Scarano Garcia
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin, Peter Fruin, Roberto C. Quinones
Arbitrator(s): Richard Carl Smukler, Basheera-Alia James, Robert Stewart Barney
Hearing Site: San Juan, PR
| | Settlement |
| 19-01000 | 12/02/2020 | Claimant(s): Elizabeth Old
Claimant Lawyers(s): Joseph Christopher Albanese
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Thomas McCafferty
Respondent Lawyers(s): Jennifer E. Willey
Arbitrator(s): Morton S. Bunis, Angela Foster, Bomopregha Asonboye Julius
Hearing Site: Jersey City, NJ
| | $0 |
| 18-01674 | 10/27/2020 | Claimant(s): Julio Julia, Yvonne Battistini
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Popular Securities.
Respondent Lawyers(s): Alan M. Wolper, Keith Olin
Arbitrator(s): Monica I. Salis, Langfred W. White, Susan Ruth Levin
Hearing Site: San Juan, PR
| | $0 |
| 18-02940 | 10/22/2020 | Claimant(s): James Dullanty
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Marc Kalish, Rick L. Knuth, Donald Dreyfus
Hearing Site: Salt Lake City, UT
| | Dismissed by Rule 12206/12504 |
| 20-00600 | 10/20/2020 | Claimant(s): Mridula Anbarasan
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Julian F. Santos, Catherine Stewart, James F. Rohrman
Hearing Site: Newark, NJ
| | Dismissed by Rule 12206/12504 |
| 19-02271 | 10/16/2020 | Claimant(s): June Glover
Claimant Lawyers(s): Stephen P. Meyer
Respondent(s): Morgan Stanley, Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Abigail Elrod, Jeffery D. Rodgers, Jr., Regina Pepe Martorana
Arbitrator(s): Jeffrey M. Bain, Jane Tam, Anthony Cipiti
Hearing Site: Charleston, WV
| | Settlement |
| 19-02198 | 10/08/2020 | Claimant(s): Scott Roeth
Claimant Lawyers(s): Mitchell B. Katten
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jeff Goldman
Arbitrator(s): Kenneth N. Adamson, Marilee Roberg, Walter Patrick Giblin
Hearing Site: Chicago, IL
| | Settlement |
| 18-00838 | 06/24/2020 | Claimant(s): Charles Ross
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Leonel Peraza
Arbitrator(s): John P. Cullem, Richard S. Zaifert, Brian Michael Kane
Hearing Site: Jacksonville, FL
| | Dismissed by Rule 12206/12504 |
