| 19-01266 | 05/26/2020 | Claimant(s): Jill Testa
Claimant Lawyers(s): John Drohan
Respondent(s): Daniel Gerschel, Michael Bromberg, Merrill Lynch Pierce Fenner & Smith Inc., Robert Mancino
Respondent Lawyers(s): Evan Way
Arbitrator(s): Howard L. Sobel, Morton S. Bunis, Martin Deignan Dehler
Hearing Site: New York, NY
|  | $0 |
| 18-01945 | 05/21/2020 | Claimant(s): Raymond George
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Leonel Peraza
Arbitrator(s): Richard S. Zaifert, Karl A. Vogeler, Nicholas Gerald Castellano
Hearing Site: Tampa, FL
| | Dismissed by Rule 12206/12504 |
| 19-01765 | 05/06/2020 | Claimant(s): Anne Marie Roberts
Claimant Lawyers(s): Alex E. Rogers
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Peter Grayson
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Sam Antar
Hearing Site: Newark, NJ
| | $0 |
| 18-00458 | 04/17/2020 | Claimant(s): David Kolasa
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Lawrence M Green, Sanders William Gropper, Donna Greenspan Solomon
Hearing Site: Boca Raton, FL
| | $0 |
| 18-01951 | 04/07/2020 | Claimant(s): Linda Marcelli
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ivan P. Harris
Arbitrator(s): Langfred W. White, Richard S. Zaifert, Jerome Blevins
Hearing Site: Tampa, FL
| | Dismissed by Rule 12206/12504 |
| 18-04026 | 03/31/2020 | Claimant(s): Howard Dubinett, Jacqueline Dubinett
Claimant Lawyers(s): Lars Soreide
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David G. Buffa
Arbitrator(s): Louis H Miron, F. Peter Phillips, Jonathan Proman
Hearing Site: Newark, NJ
| | $0 |
| 19-00194 | 03/25/2020 | Claimant(s): Thomas Hirsch
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Louis F. Mendez
Arbitrator(s): Allan Weiss, Gregory Hunter Mathews, James A. McIntosh
Hearing Site: Louisville, KY
| | Dismissed by Rule 12206/12504 |
| 18-03454 | 03/20/2020 | Claimant(s): Tomas Fernandez
Claimant Lawyers(s): Jessica Vasquez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Robert Norton
Respondent Lawyers(s): Kathryn B. Rockwood
Arbitrator(s): Harvey R. Linder
Hearing Site: Charlotte, NC
| | $0 |
| 18-02961 | 03/05/2020 | Claimant(s): Charles Carson
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): G. Maynard Green, Daniel J. Pagnano, Wayne Reid Nelson
Hearing Site: Houston, TX
| | Dismissed by Rule 12206/12504 |
| 19-01306 | 03/02/2020 | Claimant(s): Thomas Domke
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Richard S. Zaifert
Hearing Site: Tampa, FL
| | Expungement |
