| 08-03676 | 02/22/2010 | Claimant(s): Mei-Fang Chan
Claimant Lawyers(s): Mei-Fang Chan
Respondent(s): Hugh Parish, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Thomas A. Snyder, Steven P. Gregory, John G. Manley
Hearing Site: Birmingham, AL
|  | $8,475 |
| 08-01986 | 02/19/2010 | Claimant(s): Abraham Macias
Claimant Lawyers(s): William Kimball
Respondent(s): Eric Wolfe, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): David G. Beerbower, John F. Hinrichs, Lynne M. Gomez
Hearing Site: Houston, TX
| | $63,617 |
| 09-00840 | 02/16/2010 | Claimant(s): John V.L. Parry & Susan M. Parry JTWROS, The Concetta V. Fearn Trust, The John & Susan Parry CR Trust
Claimant Lawyers(s): John V.L. Parry
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Timothy Jernigan
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Janet N. Smiles, Marie G. Peterson, Carolyn E. Moore
Hearing Site: Boca Raton, FL
| | $588 |
| 09-05123 | 02/11/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Jeffrey Whitaker
Respondent Lawyers(s): Jeffrey Lee Whitaker
Arbitrator(s): Thomas B. Corey
Hearing Site: Norfolk, VA
| | |
| 08-04321 | 02/01/2010 | Claimant(s): Abid A. Shah Trust UAD 9/12/92
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Clyde McMullen, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew Wolper
Arbitrator(s): Edith N. Dinneen, Jack A. Helms, Keith M. Crouse
Hearing Site: Tampa, FL
| | $255,000 |
| 09-03712 | 01/25/2010 | Claimant(s): Phyllis M. Osler IRA Account, Genevieve Davidson Living Trust, John S. Osler Living Trust, Phyllis M. Osler Living Trust
Claimant Lawyers(s): John Osler
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Barry Goldman
Hearing Site: Detroit, MI
| | $0 |
| 08-03523 | 01/22/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jordan D. Becker
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Chrys
Respondent Lawyers(s): Jeffrey J. Calabrese, Louis M. Lagalante
Arbitrator(s): Jay F. Donnaruma, Stuart M. Schwartz, Ruth A. Ihne
Hearing Site: Albany, NY
| | |
| 09-04706 | 01/21/2010 | Claimant(s): Dennis Dipple
Claimant Lawyers(s): Dennis Dipple
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Marcia W. Pratt
Arbitrator(s): Andrew R. Dick
Hearing Site: Bismarck, ND
| | $0 |
| 08-00780 | 01/19/2010 | Claimant(s): Joe Carico
Claimant Lawyers(s): Douglas V. Reynolds
Respondent(s): Marsha Adkins, Merrill Lynch Pierce Fenner & Smith Inc., Robert Powers
Respondent Lawyers(s): John A. Rollins, Terry R. Weiss
Arbitrator(s): Arnold M. Malech, Donald B. Vaden, Harold Dean Tolbert
Hearing Site: Charleston, WV
| | $0 |
| 08-04352 | 12/30/2009 | Claimant(s): Sidney Lieberman IRA
Claimant Lawyers(s): Sara F. Lieberman
Respondent(s): Lyle Flaugher, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katherine M. McGrail
Arbitrator(s): Robert I. Adler, Bernard A. Friedman, Irene C. Warshauer
Hearing Site: New York, NY
| | $0 |
