| 06-00182 | 10/18/2007 | Claimant(s): M. McKinney, Merrimac Corporation
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Anne N. DePrez
Arbitrator(s): Daniel P. Urban, Joseph V. Simeri, Zachary Ryan Schroer
Hearing Site: Indianapolis, IN
|  | $3,321,440 |
| 02-07725 | 10/16/2007 | Claimant(s): Barbara Doop
Claimant Lawyers(s): Jakes Jordaan
Respondent(s): David Komansky, Deepak Raj, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel R. Sharp, Pamela C. Serranzana
Arbitrator(s): William L. Dorcy, James K. Pittman, Thomas Mark Zeller
Hearing Site: Dallas, TX
| | Expungement |
| 04-05063 | 10/09/2007 | Claimant(s): Fanam
Claimant Lawyers(s): Louis F. Burke
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joshua R. Cohen
Arbitrator(s): Jeffrey M. Bain, Gary R. Miles, Mitchell B. Goldberg
Hearing Site: Cleveland, OH
| | $700,000 |
| 05-04592 | 10/05/2007 | Claimant(s): Vinu and Smita Patel
Claimant Lawyers(s): Philip D. Sever
Respondent(s): Jigar Patel, Merrill Lynch Pierce Fenner & Smith Inc., Michael Miros
Respondent Lawyers(s): D. Michael O'Neil, Philip D. Sever
Arbitrator(s): Wallace E. Sarran, David W. Stanton, Lisa Shusterman
Hearing Site: Cincinnati, OH
| | Expungement |
| 06-03869 | 10/03/2007 | Claimant(s): Bernard Hober, Cynthia Hober, John Bernard Hober Custodial, Kendall Anne Hober Custodial
Claimant Lawyers(s): Victor G. Zilinskas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Lauryn J. Hart
Arbitrator(s): Michael D. Harrison, Arthur F. Brueggeman, Karen A. Lockwood
Hearing Site: Los Angeles, CA
| | $0 |
| 07-00586 | 10/03/2007 | Claimant(s): Scott Efron and Karen Efron
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew Wolper
Arbitrator(s): Richard E. Conner, Barry David Thorpe, Andrew R. Present
Hearing Site: Boca Raton, FL
| | $0 |
| 06-05133 | 10/02/2007 | Claimant(s): Sylvia Alford Bush Trust
Claimant Lawyers(s): Nancy Oliver Roberts
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Hugh C. Durbin, Gail Burke Tway, Robert M. Bath
Hearing Site: Louisville, KY
| | $0 |
| 05-04702 | 09/27/2007 | Claimant(s): Anthony Petchalonis
Claimant Lawyers(s): Barry H. Dyller
Respondent(s): Gary Crisci, Merrill Lynch Pierce Fenner & Smith Inc., Scott Hartshorn
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Blaine S. Greenfield, Michael D. Neft, Nickolas F. Monteforte
Hearing Site: Philadelphia, PA
| | $0 |
| 04-00577 | 09/25/2007 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Carolyn Cohen, Larry Rothenberg, Merrill Lynch Pierce Fenner & Smith Inc., MLFPS Cust FPO Lee Container & Paper, Testamentary Trust U/W of Henry Cohen
Respondent Lawyers(s): John C. Kelly, Patrick J. Monaghan
Arbitrator(s): Richard S. Peskin, Alfred Fingerman, Demetrio S. Timban
Hearing Site: Newark, NJ
| | $0 |
| 06-04751 | 09/25/2007 | Claimant(s): Deborah Comer
Claimant Lawyers(s): Deborah Comer
Respondent(s): Chistopher Lyons, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Alan Rafterman
Arbitrator(s): Valynda A. Ewton, James M. Tipton, Irwin S. Sugerman
Hearing Site: Dallas, TX
| | $0 |
