| 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 |
| 07-00236 | 06/06/2008 | Claimant(s): Steven Holder, Holder Family LP, The Steven Holder Trust
Claimant Lawyers(s): Theodore J. Cohen
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Nicholas P. Crowell
Arbitrator(s): James R. Duncan, J. Jean Elliott, James S. Carlson
Hearing Site: Los Angeles, CA
| | $0 |
| 06-02011 | 06/04/2008 | Claimant(s): John G., and Marcia Y. Wang
Claimant Lawyers(s): John G. Wang
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Yuchia Lin
Respondent Lawyers(s): Ben Suter
Arbitrator(s): Nicholas J. Caputo, Jane Bradley, Nick G. Tarlson
Hearing Site: San Francisco, CA
| | $0 |
| 02-00787 | 05/27/2008 | Claimant(s): Ronald and Kara Hershey
Claimant Lawyers(s): John Thomas Dzialo
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Philip Hammitt
Respondent Lawyers(s): Peter Brown Dolan
Arbitrator(s): David Zollman, Michael D. Harrison, Carl W. Vaicek
Hearing Site: Los Angeles, CA
| | $0 |
