| 07-00121 | 02/04/2008 | Claimant(s): Erich Klein
Claimant Lawyers(s): Frederick J. Lanshe
Respondent(s): Douglas Woolley, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael E. Olney
Arbitrator(s): Joseph L. Farrell
Hearing Site: Philadelphia, PA
|  | $0 |
| 01-02943 | 01/29/2008 | Claimant(s): William Erickson
Claimant Lawyers(s): Mary B. Erickson
Respondent(s): David Komansky, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Terry E. Sanchez
Arbitrator(s): Michael D. Donahue, Charles A. Graham, Grace L. Heyne
Hearing Site: Los Angeles, CA
| | |
| 03-00077 | 01/29/2008 | Claimant(s): Barbara Gordon
Claimant Lawyers(s): Jakes Jordaan
Respondent(s): David Komansky, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel R. Sharp
Arbitrator(s): Thomas D. Nagle, Charles S. Chester
Hearing Site: Houston, TX
| | $0 |
| 06-04981 | 01/22/2008 | Claimant(s): Charmaine M. and Nathan F. Sherrill
Claimant Lawyers(s): Robert L. Rolnick
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): James R. Augustine, Stacey L. Barnes, Charles Leonard Smith
Hearing Site: Houston, TX
| | $2,000 |
| 07-01474 | 01/15/2008 | Claimant(s): Norman Schlesinger
Claimant Lawyers(s): Norman M. Schlesinger
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Lori Ann Romeo
Hearing Site: New York, NY
| | $213 |
| 07-00952 | 01/11/2008 | Claimant(s): Bella Darmon
Claimant Lawyers(s): John H. West
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Theodore P. Bell
Arbitrator(s): Albert D. Sturtevant
Hearing Site: Washington, DC
| | |
| 07-00758 | 01/07/2008 | Claimant(s): John Rendall
Claimant Lawyers(s): Michael W. Wile
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Charles A. Gall
Arbitrator(s): Douglas A. Barr, Barry H. Barnett, James W. Warren
Hearing Site: Albuquerque, NM
| | $0 |
| 07-00877 | 12/26/2007 | Claimant(s): Vera Maria Knowles IRA FBO
Claimant Lawyers(s): Vera Maria Knowles
Respondent(s): Matthew Collier, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): H. Kyeng Lee
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
| | Expungement |
| 05-04639 | 12/21/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): William W. Allen
Respondent(s): David Pennington, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Davidson, Russell Sayre
Arbitrator(s): Amelia F. Adams, Carolyn K. Balleisen, John D. Robb
Hearing Site: Louisville, KY
| | |
| 06-03595 | 12/17/2007 | Claimant(s): Harold Heussner, Marjorie Heussner
Claimant Lawyers(s): Robert A. McCall
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Joseph S. Moynihan, Sandra J. Budnick, Peter J. Henning
Hearing Site: Detroit, MI
| | $0 |
