| 16-03260 | 02/16/2018 | Claimant(s): Brandon Marinelli, Meagan Donahue
Claimant Lawyers(s): David B. Cosgrove
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Ronald D. Smith
Arbitrator(s): Michael J. McNeil, John M. Dasher, Sean Alan D'Amico
Hearing Site: Hartford, CT
| | |
| 13-01406 | 03/08/2016 | Claimant(s): Stephanie Cover Revocable Trust, Sarah, The Stephanie Cover Rev. Trust
Claimant Lawyers(s): Kristine Arlitt, William D. Crist
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Ronald D. Smith
Arbitrator(s): James P. Kinkade, Andrea U. Calve, Sherrie R. Abney
Hearing Site: Dallas, TX
|  | $0 |
| 14-00777 | 08/17/2015 | Claimant(s): Danny Brumble, Paula Brumble
Claimant Lawyers(s): Robert J. Carlson
Respondent(s): David Lyles, Merrill Lynch Pierce Fenner & Smith Inc., William Mulder
Respondent Lawyers(s): Janet K. DeCosta, Ronald D. Smith
Arbitrator(s): Phil E. Macy, Robert Steven Haught, Lawrence Franklin McAtee
Hearing Site: Oklahoma City, OK
| | Expungement |
| 13-00364 | 03/17/2015 | Claimant(s): The Donald J. Adams Trust
Claimant Lawyers(s): J. Ray Ayers
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Bank of America, N.A.
Respondent Lawyers(s): Ronald D. Smith
Arbitrator(s): Laurel Littman Gothelf, Seymour A. Kolman, Edwin John Apenbrink
Hearing Site: Las Vegas, NV
| | Expungement |
| 12-03358 | 12/23/2013 | Claimant(s): Stuart Allen
Claimant Lawyers(s): James H. West
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ronald D. Smith
Arbitrator(s): Leon Fox, Pamela A. Kentra, Michael I. White
Hearing Site: Chicago, IL
| | Expungement |
| 12-02083 | 02/26/2013 | Claimant(s): Enrique Franco
Claimant Lawyers(s): John Vong
Respondent(s): AXA Distributors
Respondent Lawyers(s): Ronald D. Smith
Arbitrator(s): Michael S. Wilk
Hearing Site: Houston, TX
| | $0 |
| 10-02406 | 06/29/2012 | Claimant(s): David Schanin, Susan Schanin
Claimant Lawyers(s): Stuart Pack
Respondent(s): Katherine Larsen, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ronald D. Smith
Arbitrator(s): Federico C. Alvarez, Kenneth Harry Combs, Baldwin Ranson
Hearing Site: Denver, CO
| | Expungement |
