| 17-02480 | 05/31/2019 | Claimant(s): Alfred De Arellano, Georgina Despradel
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Jaime J. Aponte-Parsi, Edward S. Koppman, Arthur Erwin Peabody
Hearing Site: San Juan, PR
|  | Expungement |
| 16-02058 | 05/20/2019 | Claimant(s): Bobby Blackwell, Gail Blackwell, Bobby W. Blackwell Trst U/A dtd 5/2/2013, Gail R. Blackwell Trst U/A dtd 5/2/2013
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Langfred W. White, Christopher William Crowley, James Mathieu
Hearing Site: Tampa, FL
| | Expungement |
| 18-02065 | 04/23/2019 | Claimant(s): George Kane
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Larry T. Coady, James John Jurinski, Justin Kurt Kraemer
Hearing Site: Portland, OR
| | Dismissed by Rule 12206/12504 |
| 18-03530 | 04/12/2019 | Claimant(s): Johnson Andrews
Claimant Lawyers(s): Johnson George Andrews
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Robert A. Cohen, Roger B. Jacobs, Harrison Johnson
Hearing Site: New York, NY
| | Expungement |
| 17-02598 | 04/09/2019 | Claimant(s): Steven Moreno
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): T. Peter R. Pound
Arbitrator(s): Thomas E. Shuck, Lori A. Coleman, Steven H. Gentry
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206/12504 |
| 17-02860 | 03/25/2019 | Claimant(s): George Lawlor
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): William H. Morley, Jon Martino, Susan Romano
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 17-01335 | 03/22/2019 | Claimant(s): UTMA Accounts Ending 383 and 385, Wendy A. Davies Revocable Trust 3-16-07
Claimant Lawyers(s): John J. Muldoon
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Ray J. Grzebielski, Alfonso Cobb
Hearing Site: Chicago, IL
| | Expungement |
| 17-01230 | 03/20/2019 | Claimant(s): Richard Malouf, Stephanie Malouf, Gavin J. Malouf, Richard J. Malouf II, Sunny N. Malouf, Richard John Malouf IRA, Stephenie Leanne Malouf IRA, 2009 Strait Lane Family LP, RJM 2008 Irrevocable Trust, Richard John Malouf II Trust, Stephenie L. Malouf TTEE U/A
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Monteiro
Arbitrator(s): Mark L. Williams, Mary Elizabeth Skelnik, Zachary Charles Haston
Hearing Site: Dallas, TX
| | Expungement |
| 18-02004 | 03/20/2019 | Claimant(s): Robbie Slaughter
Claimant Lawyers(s): Frank Hill
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Tahesin Somji
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Mark L. Williams, Robert J. Gregory, Don G Miller
Hearing Site: Dallas, TX
| | Expungement |
| 17-01678 | 03/14/2019 | Claimant(s): C.Billington S.T. for J.Billington Trust
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): P. Burke Esq.
Arbitrator(s): Anita Rae Shapiro, Noel Harvey Applebaum, Steven H. Gentry
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
