| 04-04140 | 02/22/2008 | Claimant(s): Patricia McEvoy
Claimant Lawyers(s): Chad N. Cagan
Respondent(s): Gregory Wagner, Marcel Wagner, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe
Arbitrator(s): Jim Geiger, Fred Shinagel, Linda T. Pellegrino
Hearing Site: Newark, NJ
|  | Stipulated Award and Expungement |
| 07-00121 | 02/04/2008 | Claimant(s): Erich Klein
Claimant Lawyers(s): Frederick J. Lanshe
Respondent(s): Douglas Woolley, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael E. Olney
Arbitrator(s): Joseph L. Farrell
Hearing Site: Philadelphia, PA
| | $0 |
| 03-00077 | 01/29/2008 | Claimant(s): Barbara Gordon
Claimant Lawyers(s): Jakes Jordaan
Respondent(s): David Komansky, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel R. Sharp
Arbitrator(s): Thomas D. Nagle, Charles S. Chester
Hearing Site: Houston, TX
| | $0 |
| 06-04981 | 01/22/2008 | Claimant(s): Charmaine M. and Nathan F. Sherrill
Claimant Lawyers(s): Robert L. Rolnick
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): James R. Augustine, Stacey L. Barnes, Charles Leonard Smith
Hearing Site: Houston, TX
| | $2,000 |
| 07-01474 | 01/15/2008 | Claimant(s): Norman Schlesinger
Claimant Lawyers(s): Norman M. Schlesinger
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Lori Ann Romeo
Hearing Site: New York, NY
| | $213 |
| 07-00758 | 01/07/2008 | Claimant(s): John Rendall
Claimant Lawyers(s): Michael W. Wile
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Charles A. Gall
Arbitrator(s): Douglas A. Barr, Barry H. Barnett, James W. Warren
Hearing Site: Albuquerque, NM
| | $0 |
| 07-00877 | 12/26/2007 | Claimant(s): Vera Maria Knowles IRA FBO
Claimant Lawyers(s): Vera Maria Knowles
Respondent(s): Matthew Collier, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): H. Kyeng Lee
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
| | Expungement |
| 06-03595 | 12/17/2007 | Claimant(s): Harold Heussner, Marjorie Heussner
Claimant Lawyers(s): Robert A. McCall
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Joseph S. Moynihan, Sandra J. Budnick, Peter J. Henning
Hearing Site: Detroit, MI
| | $0 |
| 07-01660 | 12/07/2007 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Sam Aaron and Erika M. Adams
Respondent Lawyers(s): Sam Aaron
Arbitrator(s): Richard E. Keefe
Hearing Site: Seattle, WA
| | $0 |
| 06-02349 | 12/06/2007 | Claimant(s): Miriam Nigohosian
Claimant Lawyers(s): Jennifer M. Jordan
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): William J. Manning
Arbitrator(s): Robert L. Palleschi, Zuhayr A. Moghrabi, Kenneth Paul Williams
Hearing Site: New York, NY
| | $158,801 |
