| 06-01748 | 11/14/2008 | Claimant(s): Joy Phillips
Claimant Lawyers(s): Thomas C. Jardim
Respondent(s): Joseph Murphy, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David J. Libowksy
Arbitrator(s): Charles L. Prothero, Irene C. Warshauer, Erica Levitt
Hearing Site: Newark, NJ
|  | $4,977 |
| 08-01569 | 11/12/2008 | Claimant(s): John Scaramella
Claimant Lawyers(s): John Scaramella
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): James B. Eichberg, Dominic Alecci, Craig Stanley Ralston
Hearing Site: Denver, CO
| | $0 |
| 05-00842 | 11/03/2008 | Claimant(s): Abdallah Abdallah
Claimant Lawyers(s): H. J. Rubinstein
Respondent(s): Edward Skarbnik, Citigroup Global Markets., Merrill Lynch Pierce Fenner & Smith Inc., Salomon Brothers.
Respondent Lawyers(s): Edwin A. Zipf, Jacqueline M. Gorham
Arbitrator(s): Nathan J. Minucci, Alvin Green, Emanuel Bloom
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
| 07-02742 | 11/03/2008 | Claimant(s): A.G. Edwards & Sons.
Claimant Lawyers(s): Alicia Etre
Respondent(s): Gene Harshman, Karen Loeschen, Krista Savage, Merrill Lynch Pierce Fenner & Smith Inc., Richard Marcolla, Robert Barry, Thomas Cutrone, William Easterling
Respondent Lawyers(s): Curtis C. Calloway, Todd J. Kaiser
Arbitrator(s): John N. Reidy, Frederick Michael Switzer, John Bruce Witwer
Hearing Site: St. Louis, MO
| | $265,500 |
| 07-02969 | 10/31/2008 | Claimant(s): Salovich Family Trust
Claimant Lawyers(s): George V. Salovich
Respondent(s): Derek Uehara, Johanna Martin, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Edwin C. Shiver
Hearing Site: Las Vegas, NV
| | $0 |
| 07-01049 | 10/30/2008 | Claimant(s): Helen Alpert
Claimant Lawyers(s): Darren C. Blum
Respondent(s): Byron Meads, Doria Sabia-Florence, John Wyllys, Max Manack, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Doria Sabia-Florence, Neil S. Baritz
Arbitrator(s): Susan M. Dunning, William E. Schneider, Carolyn E. Moore
Hearing Site: Boca Raton, FL
| | $370,290 |
| 08-00485 | 10/17/2008 | Claimant(s): Deborah Galarneau
Claimant Lawyers(s): Rufus E. Brown
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Shari B. Broder, Deborah B. Haskell, Jack B. Golden
Hearing Site: Boston, MA
| | |
| 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
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