| 06-02594 | 12/06/2007 | Claimant(s): Louie Kau Wang and June Ting Wang
Claimant Lawyers(s): Joseph F. Kornicki
Respondent(s): Howard Moses, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Jim Geiger, Steven T. Stern, Richard Frank Colello
Hearing Site: Philadelphia, PA
|  | $0 |
| 01-00028 | 11/29/2007 | Claimant(s): Guity Moghadam, Jonathan Peace, Susan Peace
Claimant Lawyers(s): Jonathan E. Peace
Respondent(s): Jim Lau, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bryan I. Reyhani
Arbitrator(s): Linda Marie Edson, Ernest L. Burnside, Laurel L. Hyde
Hearing Site: San Diego, CA
| | $0 |
| 06-01699 | 11/21/2007 | Claimant(s): Mildred Bierce, Mildred E. Bierce IRA
Claimant Lawyers(s): James Jay Seltzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): John J. Fitzpatrick, William Michael Samsel, Mark Aaron Jones
Hearing Site: San Francisco, CA
| | $250 |
| 06-02189 | 11/14/2007 | Claimant(s): John Rauch
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Anne N. Deprez
Arbitrator(s): Lawrence W. Arness, David William Russell, Tim D. Bachus
Hearing Site: Indianapolis, IN
| | $100,300 |
| 06-05015 | 11/09/2007 | Claimant(s): Torsten Scholl, DEQ GMBH & Co. Venture KG
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): J.P. Morgan Securities., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joseph S. Simms, Timothy P. Burke
Arbitrator(s): Frank Muller, John E. Hansen, Court O. Anderson
Hearing Site: New York, NY
| | $0 |
| 06-03597 | 11/06/2007 | Claimant(s): Estate of Vera L. Freeberg
Claimant Lawyers(s): Jay William Jacobus
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Herb Schwartz, Linda M. McCoy, Mark Aaron Jones
Hearing Site: San Francisco, CA
| | $0 |
| 06-02538 | 10/31/2007 | Claimant(s): Bernard McDaniel
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Daniel Fais, Kevin Murphy, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Brian F. Amery
Arbitrator(s): Timothy F. Shanahan
Hearing Site: Boston, MA
| | Stipulated Award and Expungement |
| 06-00811 | 10/30/2007 | Claimant(s): Grace Weber, Elwood and Grace Weber
Claimant Lawyers(s): Michael P. McClaren
Respondent(s): Advest., Edward Carlsen, Merrill Lynch Pierce Fenner & Smith Inc., Roger Faulring
Respondent Lawyers(s): James D. Vannah, Paul K. Stecker
Arbitrator(s): Eugene M. Setel, Karin A. Schlosser, Michael Allen Zeiler
Hearing Site: Buffalo, NY
| | $685,170 |
| 04-00832 | 10/25/2007 | Claimant(s): Georgette Amato, Joseph Amato, JJR Realty Co.
Claimant Lawyers(s): Monica E. De Los Rios
Respondent(s): Joseph Berkery, Merrill Lynch Pierce Fenner & Smith Inc., Mike Leber
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Dennis C. Meyerson, Frank Irizarry, Allen D. Unterweiser
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 06-03972 | 10/24/2007 | Claimant(s): George Nordike
Claimant Lawyers(s): George Nordike
Respondent(s): Israel Epstein, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael E. Olney
Arbitrator(s): Barbara J. Glenns, Annette B. Meyers, James M. Rhodes
Hearing Site: New York, NY
| | $250 |
