| 18-00264 | 11/07/2019 | Claimant(s): Guillermo Castro
Claimant Lawyers(s): Michael S. Taafe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Leslie L. Cooney, Will Murphy, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
|  | Dismissed by Rule 12206/12504 |
| 18-01457 | 11/01/2019 | Claimant(s): Elizabeth Jachles
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): John C. Aten, William Joseph Caprathe, Gary E Vickers
Hearing Site: Buffalo, NY
| | $0 |
| 18-03492 | 10/14/2019 | Claimant(s): William Siu
Claimant Lawyers(s): Jon A Titus
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Richard Kent Mahrle, John Joseph Welsh, Jerome Allan Landau
Hearing Site: Phoenix, AZ
| | $330,000 |
| 18-01899 | 08/28/2019 | Claimant(s): James Porz
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Harvey Barrison, Philip J De Bellis, Patricia Kathleen Costello
Hearing Site: New York, NY
| | Dismissed by Rule 12206/12504 |
| 18-04352 | 08/14/2019 | Claimant(s): Gary Meshell
Claimant Lawyers(s): Gary B. Meshell
Respondent(s): Gary Stern, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | Expungement |
| 17-02183 | 07/24/2019 | Claimant(s): Josephine Zanoni, Richard Zanoni, The Zanoni Family Trust
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey, Karl L. Marquardt
Arbitrator(s): Carole L. Green, David John Reilly, Mitchell Regenbogen
Hearing Site: New York, NY
| | Expungement |
| 18-01530 | 07/22/2019 | Claimant(s): Gail Bardon, Thomas Bardon
Claimant Lawyers(s): Thomas Bardon
Respondent(s): Jesus Romero, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tanya S. Lambrechts
Arbitrator(s): Will Murphy, Donna Greenspan Solomon, Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
| | Expungement |
| 18-02840 | 07/18/2019 | Claimant(s): Melrose Whittaker
Claimant Lawyers(s): Melrose Endolyn Whittaker
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Wiley
Arbitrator(s): Bruce K. Isenberg, S. Ronald Daniels, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | $0 |
| 18-02950 | 06/26/2019 | Claimant(s): Larry Kloth
Claimant Lawyers(s): Thomas P. Dillon
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stephanie L. Sweitzer
Arbitrator(s): Gail K. Barski-McCracken, Gerald W. Hepp, Zachary William Behler
Hearing Site: Detroit, MI
| | $0 |
| 17-02064 | 06/04/2019 | Claimant(s): Brenda Sosa Diaz, Brenda D. Sosa & Jose Garcia Ginorio
Claimant Lawyers(s): Osvaldo Carlo Linares
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Douglas Earl McLaren
Hearing Site: San Juan, PR
| | Expungement |
