| 08-01029 | 03/30/2009 | Claimant(s): Karen Wines
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christin Choi
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | |
| 08-01181 | 03/26/2009 | Claimant(s): Naomi Britton
Claimant Lawyers(s): Burton M. Bentley
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christin M. Choi
Arbitrator(s): Gary L. Freeman, Marc Kalish, Amy L. Lieberman
Hearing Site: Phoenix, AZ
| | |
| 06-04042 | 03/23/2009 | Claimant(s): Robert Traitz
Claimant Lawyers(s): James A. Batson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Audrey Y. Dupont
Arbitrator(s): Edith M. Novack, S. Charles Tabak, Phillip Benedetto
Hearing Site: Newark, NJ
| | |
| 08-03126 | 03/23/2009 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachael Carp
Respondent(s): Michael Cox
Respondent Lawyers(s): Michael D. Cox
Arbitrator(s): Lowell D. Johnston
Hearing Site: New York, NY
| | |
| 08-00568 | 03/20/2009 | Claimant(s): The TTees of the Masonic Hall and Asylum
Claimant Lawyers(s): Brian J. Butler
Respondent(s): Advest., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew C. Applebaum
Arbitrator(s): Brian J. Burstin, Dale S. Cronnell, John Richard Lynch
Hearing Site: Albany, NY
|  | $30,600,600 |
| 08-03497 | 03/18/2009 | Claimant(s): Kevin Kloski
Claimant Lawyers(s): Kevin M. Kloski
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christin Choi
Arbitrator(s): Chesley Oriel
Hearing Site: Hartford, CT
| | |
| 08-01696 | 03/16/2009 | Claimant(s): Cynthia Loughman, Philip Loughman
Claimant Lawyers(s): Cynthia L. Loughman, Philip G. Loughman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Donald W. Diones, Charles G. Michaels, Federico C. Alvarez
Hearing Site: Denver, CO
| | $0 |
| 08-01407 | 03/02/2009 | Claimant(s): Bernard Patrusky, Meredith Patrusky, Meredith Patrusky & George Boronkay, Trs, Meredith Patrusky & Martin Semels, Tee
Claimant Lawyers(s): David L. Wales
Respondent(s): Linda Houston, Merrill Lynch Pierce Fenner & Smith Inc., Robert Boykoff
Respondent Lawyers(s): Catherine R. Murphy
Arbitrator(s): Ann Pinciss Berman, Theresa R. Joyner, Alan Steven Brodherson
Hearing Site: New York, NY
| | $0 |
| 08-00218 | 02/10/2009 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Steven G. Leventhal
Respondent(s): Saul Kaminsky
Respondent Lawyers(s): Saul Kaminsky
Arbitrator(s): Lowell D. Johnston
Hearing Site: New York, NY
| | $0 |
| 07-03395 | 02/04/2009 | Claimant(s): Jean Nilsson
Claimant Lawyers(s): Paul Sabia
Respondent(s): Anthony Czarzasty, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Lauryn J. Hart
Arbitrator(s): William I. Carmen
Hearing Site: Hartford, CT
| | Stipulated Award and Expungement |
