| 22-02215 | 04/26/2024 | Claimant(s): Gilda Scharf for her IRA, Stanley Scharf for his IRA, Stanley Scharf and Gilda Scharf
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Seth L. Finkel, Edward R. Niederriter, Carolyn E. Moore
Hearing Site: Boca Raton, FL
|  | Expungement |
| 22-01671 | 12/18/2023 | Claimant(s): Gelila Jones, Jay Jones
Claimant Lawyers(s): Jonathan Schwartz
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Jacquelyn M. Shannon, Terrence L. Harvey, Catherine Michelle Straley-Edson
Hearing Site: Jacksonville, FL
| | Expungement |
| 22-00521 | 10/26/2023 | Claimant(s): Mary Ann Miller, Estate of Angeline Cagliola
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): David M. Snyder, Kenneth R. Starr, Jacquelyn M. Shannon
Hearing Site: Tampa, FL
| | Expungement |
| 21-00880 | 03/20/2023 | Claimant(s): Calvin Cross, Chareka Cross
Claimant Lawyers(s): Paul J. Pontrelli
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Sonia Balfour-Fears
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Michael J. Ahlstrom, Gwendolyn C. Walker
Hearing Site: Atlanta, GA
| | Expungement |
| 18-03103 | 02/19/2021 | Claimant(s): Mattie M. Kelly 908 Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Michael H. McConihe, Peter A. Roche, Mimi Vivien Turin
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12212 |
| 18-02235 | 12/21/2020 | Claimant(s): Carlos Scarano Garcia
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin, Peter Fruin, Roberto C. Quinones
Arbitrator(s): Richard Carl Smukler, Basheera-Alia James, Robert Stewart Barney
Hearing Site: San Juan, PR
| | Settlement |
| 18-01674 | 10/27/2020 | Claimant(s): Julio Julia, Yvonne Battistini
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Popular Securities.
Respondent Lawyers(s): Alan M. Wolper, Keith Olin
Arbitrator(s): Monica I. Salis, Langfred W. White, Susan Ruth Levin
Hearing Site: San Juan, PR
| | $0 |
| 17-01639 | 01/21/2020 | Claimant(s): Angel Pagan, Windy Pagan, AW Investment Corp.
Claimant Lawyers(s): Lloyd R. Schwed
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Scott A. Schweber, Sam Gowin, Randy Jeff Branitsky
Hearing Site: San Juan, PR
| | $1,820,530 |
| 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 |
| 18-02831 | 02/06/2019 | Claimant(s): Marva Monroe
Claimant Lawyers(s): Marva M. Monroe
Respondent(s): Banc of America Securities LLC, Merrill Lynch Pierce Fenner & Smith Inc., Paul Donofrio
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Bruce W. Bennett
Hearing Site: Atlanta, GA
| | $0 |
