| 07-02938 | 10/07/2008 | Claimant(s): Antoinette Peltz, Jeffrey Peltz
Claimant Lawyers(s): Geoffrey C. Brown
Respondent(s): Mark Moyer, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Richard W. Gambs, Harlita R. Tomlinson, William Culver
Hearing Site: Columbus, OH
|  | $51,400 |
| 07-01611 | 09/15/2008 | Claimant(s): Darlene Ludolff
Claimant Lawyers(s): Adrian N. Roe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Samuel Spanos
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): John H. Ewing, Donald J. Gilbert, Alfred E. Lawson
Hearing Site: Pittsburgh, PA
| | $0 |
| 08-02495 | 09/08/2008 | Claimant(s): Smith Barney Shearson.
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Jennifer Davis, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Geoffrey Gordon-Creed, Paul Vincent Simpson
Arbitrator(s): Donald S. Duerson, Walter J. Huntley, Shawn Ridgell
Hearing Site: San Francisco, CA
| | |
| 08-00746 | 08/11/2008 | Claimant(s): Edwin Lee, Michelle Lee
Claimant Lawyers(s): Edwin Lee
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Charles Ajamian
Hearing Site: Newark, NJ
| | $1,233 |
| 07-02031 | 07/15/2008 | Claimant(s): Osvaldo Alfonso
Claimant Lawyers(s): Osvaldo Alfonso
Respondent(s): Knickeita Vassel-Bullock, Merrill Lynch Pierce Fenner & Smith Inc., ICMA-RC Services
Respondent Lawyers(s): Angela A. Turiano, Jason Okera Keene
Arbitrator(s): Kimberly A. Gilmour, Adam Harrison Smith, Harold S. Stern
Hearing Site: Boca Raton, FL
| | $0 |
| 08-00802 | 07/11/2008 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Bradley Bangen
Respondent Lawyers(s): Bradley C. Bangen
Arbitrator(s): Arno C. Schwethelm
Hearing Site: Houston, TX
| | |
| 06-01817 | 06/30/2008 | Claimant(s): Akhil Shah, Rajnikant Shah
Claimant Lawyers(s): Michael M. Feinberg
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Curt Roy Hineline
Arbitrator(s): Craig Charles Beles, Charles M. Ackerman, Stephen E. DeForest
Hearing Site: Seattle, WA
| | $0 |
| 07-02016 | 06/26/2008 | Claimant(s): Maria Blatter
Claimant Lawyers(s): Kevin M. Kinne
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Timothy P. Burke
Arbitrator(s): Joseph L. Bernstein, Jonathan H. Parker, Jose Ramon Vazquez
Hearing Site: San Juan, PR
| | $0 |
| 07-03382 | 06/16/2008 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Angela Jordison
Respondent Lawyers(s): Angela Jordison
Arbitrator(s): William B. Kirby
Hearing Site: Portland, OR
| | |
| 02-04882 | 06/12/2008 | Claimant(s): Dale Wise
Claimant Lawyers(s): Paul J. Sussman
Respondent(s): Bernard Ringer, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Cassidy
Arbitrator(s): Michael S. Matek, Richard E. Ascher, David John Diersen
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
