| 17-01823 | 04/06/2018 | Claimant(s): Michael Clancy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley & Co., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Nicholas Y. Lin, Stuart D. Roberts
Arbitrator(s): James John Jurinski
Hearing Site: Portland, OR
| | |
| 16-02765 | 05/16/2017 | Claimant(s): Sally Amer
Claimant Lawyers(s): Aaron Romney
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | |
| 14-03703 | 05/02/2017 | Claimant(s): Adam Berlin
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Marie G. Peterson
Hearing Site: Miami, FL
| | |
| 15-00385 | 12/18/2015 | Claimant(s): Kevin Sullivan
Claimant Lawyers(s): Brittany Weiner
Respondent(s): Kevin Kelly, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Colette Manoil
Hearing Site: Boston, MA
| | |
| 14-02042 | 11/20/2015 | Claimant(s): Bret Ackerman
Claimant Lawyers(s): Paul H. Aloe
Respondent(s): Evan Schwartzberg, Mathew Van Alstyne, Bonwick Capital Partners, Odeon Capital Group LLC
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Abigail J. Pessen, Carol Maria Luttati, Brian Lawrence Berlandi
Hearing Site: New York, NY
| | |
| 14-00260 | 08/24/2015 | Claimant(s): Michael Choy
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Lanny M. Leff
Hearing Site: Phoenix, AZ
| | |
| 13-00918 | 06/16/2014 | Claimant(s): Sabina Phillips
Claimant Lawyers(s): Sabina Phillips
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): David Finnegan, Saul Scheier, Thomas M. Amadio
Hearing Site: New York, NY
| | |
| 12-04074 | 01/06/2014 | Claimant(s): Gregory Zerillo
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): John G. Manley
Hearing Site: Nashville, TN
| | |
| 08-04070 | 08/06/2010 | Claimant(s): East Tennessee Neurology P.C. Profit
Claimant Lawyers(s): Brian N. Smiley
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Joshua D. Wallach, Kenneth M. Jackson, Elton W. Chartrand
Hearing Site: Nashville, TN
|  | $484,357 |
