| 09-01374 | 11/29/2010 | Claimant(s): Zachary Sech
Claimant Lawyers(s): George M. Reul
Respondent(s): David Singer, Joseph Evelo, UBS Financial Services Inc., Linnell Sullivan, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christin M. Choi, James L. Komie, Russell S. Sayre
Arbitrator(s): Emily J. Lewis, Regina F. Burch, A. Brian McIntosh
Hearing Site: Cincinnati, OH
| | |
| 09-04494 | 11/29/2010 | Claimant(s): Peter Derby
Claimant Lawyers(s): Thomas M. Mullaney
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Richard Grodin
Respondent Lawyers(s): Coren H. Stern
Arbitrator(s): Alan S. Braunshweiger, Lincoln W. Craighead, Annamaria Boccia Smith
Hearing Site: New York, NY
|  | $0 |
| 09-04654 | 11/23/2010 | Claimant(s): Eddie Creasy, Virginia Creasy, Eddie & Virginia Creasy Trust DTD 5/5/08
Claimant Lawyers(s): Richard J. Edson
Respondent(s): Carol Ham, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn J. Bushby, Kathryn R. Eldridge
Arbitrator(s): Leon Henderson, Chris J. Conanan, John W. Lewis
Hearing Site: Richmond, VA
| | $225 |
| 08-02389 | 11/19/2010 | Claimant(s): Joseph Borkowski
Claimant Lawyers(s): Marc A. Susswein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Carole Miller
Arbitrator(s): Boyd H. Scheff, Lincoln W. Craighead, James I. Berliner
Hearing Site: New York, NY
| | |
| 09-03814 | 11/19/2010 | Claimant(s): Joseph Jefferys
Claimant Lawyers(s): Brian P. Biggins
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Melinda L. Peevy
Arbitrator(s): Truman M. Hogan, W. Sean Kelleher, Kimberly C. Lawrence
Hearing Site: Cleveland, OH
| | $27,160 |
| 09-06300 | 11/18/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Amy M. Fritsky
Respondent(s): Oscar Penn
Respondent Lawyers(s): Oscar Penn
Arbitrator(s): Patricia B. Lehtola
Hearing Site: Houston, TX
| | |
| 09-02059 | 11/18/2010 | Claimant(s): William Quiros
Claimant Lawyers(s): David Gurnick
Respondent(s): Kevin Caputo, Merrill Lynch Pierce Fenner & Smith Inc., Steven Port
Respondent Lawyers(s): Christine A. Page, Susan L. Hoffman
Arbitrator(s): Barbara Faye Vosen, David W. Casey, Walter R. Whitman
Hearing Site: Los Angeles, CA
| | $500,000 |
| 09-05727 | 11/12/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Sean G. Duffy
Respondent(s): Richard Dorman
Respondent Lawyers(s): Richard Dorman
Arbitrator(s): Karin A. Schlosser
Hearing Site: Pittsburgh, PA
| | |
| 09-06739 | 11/11/2010 | Claimant(s): Charles Boone
Claimant Lawyers(s): Charles Boone
Respondent(s): Harvey Cook, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Earle J. Schwarz
Hearing Site: Memphis, TN
| | $2,018 |
| 09-07153 | 11/10/2010 | Claimant(s): Peter Skouras
Claimant Lawyers(s): George W. Klein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn L. Dietrich
Arbitrator(s): Bernard A. Friedman
Hearing Site: New York, NY
| | $25,425 |
