| 12-00065 | 10/10/2012 | Claimant(s): Arthur W. Curtis, Jr. Trust, Cynthia S. Curtis Trust
Claimant Lawyers(s): K. Michael Swann
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Thomas Joseph Atkinson, Daniel P. Lund, Robert M. Bath
Hearing Site: Orlando, FL
|  | Expungement |
| 10-03760 | 03/09/2012 | Claimant(s): Miguel Gaud
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): Popular Securities.
Respondent Lawyers(s): Heidi L. Rodriguez Benitez
Arbitrator(s): Michael Lau, S. William Gersten, Daniel P. Lund
Hearing Site: San Juan, PR
| | $120,300 |
| 10-05324 | 02/03/2012 | Claimant(s): Ana Rosa Garcia, Luis Rosario Serrano
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Popular Securities.
Respondent Lawyers(s): Maritere Colon-Dominguez
Arbitrator(s): Mark C. Perry, Elena G. Rodriguez, Daniel P. Lund
Hearing Site: San Juan, PR
| | Expungement |
| 10-02737 | 12/14/2011 | Claimant(s): Estate of Dr. Paul Tanner
Claimant Lawyers(s): Mitchell H. Cobert
Respondent(s): Oppenheimer & Co.., Kedrick Sackey
Respondent Lawyers(s): Ellen Sheridan Cona, Irwin Weltz
Arbitrator(s): Ronald Citron, Daniel P. Lund, Martin R. Cramer
Hearing Site: Newark, NJ
| | $0 |
| 10-03972 | 11/14/2011 | Claimant(s): Aviva Apel
Claimant Lawyers(s): David J. Shea
Respondent(s): Brian Gold, Izhar Shefer, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): Gary W. Pollack, Daniel P. Lund, Robert Charles Stamm
Hearing Site: Miami, FL
| | $0 |
| 09-01648 | 07/16/2010 | Claimant(s): Joseph Demty, Mr. Joseph J. Demty, IRA
Claimant Lawyers(s): Joseph J. Demty
Respondent(s): Thinkorswim.
Respondent Lawyers(s): Elizabeth A. Fitzwater
Arbitrator(s): Nancy J. Cliff, Jonathan H. Parker, Daniel P. Lund
Hearing Site: Miami, FL
| | $0 |
| 09-02871 | 06/04/2010 | Claimant(s): David Wechsler and Amy Wechsler JT/TIC
Claimant Lawyers(s): David E. Robbins
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Megan Shea-Harwick
Arbitrator(s): Alan K. Bloom, Joan Marie Chiusano, Daniel P. Lund
Hearing Site: New York, NY
| | $1,319,800 |
| 06-03827 | 03/18/2008 | Claimant(s): Robert V. Troy, Estate of Eleanor Daly
Claimant Lawyers(s): Robert V. Troy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Patrick Taylor
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Scott Pierce, Daniel P. Lund, William H. Morley
Hearing Site: New York, NY
| | $0 |
