| 11-03853 | 05/24/2013 | Claimant(s): Estate of Marjorie Christian
Claimant Lawyers(s): Howard Christian
Respondent(s): Angelo Anello, Brian Lannigan, Christopher Foley, Merrill Lynch Pierce Fenner & Smith Inc., Patrick Sands, Tracy Maynor
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Mary C. Kelleher, June Y. Kilmarx, William I. Carmen
Hearing Site: Boston, MA
|  | $0 |
| 11-03020 | 04/10/2013 | Claimant(s): Alaa Elhamrawy
Claimant Lawyers(s): Alaa Elhamrawy
Respondent(s): Optionsxpress., USAA Investment Management Company
Respondent Lawyers(s): Anthony L. Valenzuela, Theodore C. Schultz
Arbitrator(s): William I. Carmen, Jeffrey L. Frankel, Frank Sanclemente
Hearing Site: Boston, MA
| | $0 |
| 10-05371 | 11/09/2011 | Claimant(s): Judith Schmitt
Claimant Lawyers(s): Christopher McHallam
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Christopher P. Litterio
Arbitrator(s): Arthur J. Giacomarra, William I. Carmen, Susan Largay
Hearing Site: Boston, MA
| | $0 |
| 06-03305 | 03/14/2008 | Claimant(s): Barbara Drucker, William Drucker, William R. Drucker IRA
Claimant Lawyers(s): Joshua N. Cook
Respondent(s): Charlene Marant, Elizabeth Ferreira, EM Financial Solutions, Marant Enterprises Holdings LLC, Pershing Advisor Solutions
Respondent Lawyers(s): Charlene Marant, Christina Davilas, Compliance Officer, Elizabeth Ferreira
Arbitrator(s): Robert Titus, William I. Carmen, Stephen Z. Frank
Hearing Site: Boston, MA
| | Settlement |
