| 13-02985 | 06/20/2014 | Claimant(s): Ehud Arad, A.N.R. Investment Company Ltd.
Claimant Lawyers(s): David E. Bamberger
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Bradford D. Kaufman
Arbitrator(s): Selma Moy, Nancy Kramer, Ann P. Bruch
Hearing Site: New York, NY
|  | Dismissed by Rule 12504 |
| 12-02751 | 11/22/2013 | Claimant(s): Christopher Gaertner, Jacqueline Gaertner
Claimant Lawyers(s): David E. Bamberger
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John P. Bevilacqua
Arbitrator(s): Richard L. Rubin, Paul D. Gutierrez, Ronald Chun
Hearing Site: San Francisco, CA
| | Expungement |
| 10-03837 | 09/14/2011 | Claimant(s): The Richard Steinberg Living Trust
Claimant Lawyers(s): David E. Bamberger
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Kinchen C. Bizzell, Alun Hywel Jones, Ivan W. Harper
Hearing Site: New York, NY
| | $0 |
| 09-06118 | 07/05/2011 | Claimant(s): Diane LeBoeuf
Claimant Lawyers(s): Fred S. Clark
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Philip Weber
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Gerard S. Marsan
Hearing Site: Providence, RI
| | Stipulated Award and Expungement |
| 10-00300 | 07/28/2010 | Claimant(s): Charles Bornstein
Claimant Lawyers(s): Charles Zachary Bornstein
Respondent(s): Judith Connolly
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Fred S. Pieroni
Hearing Site: New York, NY
| | $88 |
| 09-01156 | 03/12/2010 | Claimant(s): Abraham Soldaner
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): James J. Fishman, Pamela H. Roderick, Frank Irizarry
Hearing Site: New York, NY
| | $0 |
| 07-01452 | 12/17/2009 | Claimant(s): L. James Reese Revocable Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Melford V. McCormick, David B. Lacks, Michael A. Kleinman
Hearing Site: Kansas City, MO
| | $0 |
| 08-02775 | 09/24/2009 | Claimant(s): Zvi Osterweil
Claimant Lawyers(s): Rebecca C. Davis
Respondent(s): Citigroup Global Markets., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger, Joseph L. Calabrese
Arbitrator(s): Joan M. Traub, Michael Ross, Charles F. Titterton
Hearing Site: New York, NY
| | $40,000 |
| 07-02062 | 08/05/2009 | Claimant(s): Glen Stone, Sandra Stone
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Robert R. Nursey, Robert L. Chisolm, Robert J. Gregory
Hearing Site: Dallas, TX
| | $0 |
| 08-00097 | 08/03/2009 | Claimant(s): Estate of Vera Dennington, Gordon Axton, Norma Axton, Shepard Smith
Claimant Lawyers(s): Jason Pang Fe Lee
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Thomas C. McNally, Donald H. Korn, Thomas E. Quinlin
Hearing Site: San Francisco, CA
| | $146,515 |
