| 09-02600 | 10/20/2009 | Claimant(s): Norma Parker
Claimant Lawyers(s): Norma Parker
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Steven J. Feldman
Hearing Site: Los Angeles, CA
|  | $0 |
| 08-03841 | 10/09/2009 | Claimant(s): Shannon L. Nichols Trust
Claimant Lawyers(s): Jan Graham
Respondent(s): Citigroup Global Markets., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joseph L. Hood, William A. Hohauser
Arbitrator(s): Ross W. Cannon, Kevin D. Swenson, Janet M. Thompson
Hearing Site: Salt Lake City, UT
| | $296,890 |
| 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 |
| 08-01911 | 09/24/2009 | Claimant(s): Robert Young
Claimant Lawyers(s): Robert C. Young
Respondent(s): Charles Teixeira, John Loughran, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason D. Lane
Arbitrator(s): Earl S. Schwarz, Irene C. Warshauer, James M. Rhodes
Hearing Site: New York, NY
| | $0 |
| 08-01910 | 09/17/2009 | Claimant(s): Robert Young
Claimant Lawyers(s): Robert C. Young
Respondent(s): Charles Teixeira, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Corin R. Swift
Arbitrator(s): Judith C. Zerden, Jacob Aschkenasy, Matthew Loguercio
Hearing Site: New York, NY
| | $0 |
| 09-00638 | 09/14/2009 | Claimant(s): Nancy C. Wood, Trustee
Claimant Lawyers(s): Nancy C. Wood
Respondent(s): Bill Kearney, Merrill Lynch Pierce Fenner & Smith Inc., Michael Phillip, Steven Neibert
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | $213 |
| 08-02151 | 08/25/2009 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Samuel Begun
Respondent Lawyers(s): Samuel Begun
Arbitrator(s): Bonnie K. Wachtel, Ralph S. Blascovich, Paul A. Fischer
Hearing Site: Washington, DC
| | |
| 08-02768 | 08/11/2009 | Claimant(s): Mark Rossel
Claimant Lawyers(s): Erwin J. Shustak
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patricia Tsipras
Arbitrator(s): Joyce L. Hurley, Joseph C. Watson, Russell T. Doe
Hearing Site: Los Angeles, CA
| | |
| 08-04271 | 08/05/2009 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Steven G. Leventhal
Respondent(s): Marvin Wolfman
Respondent Lawyers(s): Marvin I. Wolfman
Arbitrator(s): Linda Ashley
Hearing Site: New York, NY
| | $0 |
| 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 |
