| 07-01660 | 12/07/2007 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Sam Aaron and Erika M. Adams
Respondent Lawyers(s): Sam Aaron
Arbitrator(s): Richard E. Keefe
Hearing Site: Seattle, WA
|  | $0 |
| 06-02349 | 12/06/2007 | Claimant(s): Miriam Nigohosian
Claimant Lawyers(s): Jennifer M. Jordan
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): William J. Manning
Arbitrator(s): Robert L. Palleschi, Zuhayr A. Moghrabi, Kenneth Paul Williams
Hearing Site: New York, NY
| | $158,801 |
| 06-02594 | 12/06/2007 | Claimant(s): Louie Kau Wang and June Ting Wang
Claimant Lawyers(s): Joseph F. Kornicki
Respondent(s): Howard Moses, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Jim Geiger, Steven T. Stern, Richard Frank Colello
Hearing Site: Philadelphia, PA
| | $0 |
| 01-00028 | 11/29/2007 | Claimant(s): Guity Moghadam, Jonathan Peace, Susan Peace
Claimant Lawyers(s): Jonathan E. Peace
Respondent(s): Jim Lau, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bryan I. Reyhani
Arbitrator(s): Linda Marie Edson, Ernest L. Burnside, Laurel L. Hyde
Hearing Site: San Diego, CA
| | $0 |
| 06-01699 | 11/21/2007 | Claimant(s): Mildred Bierce, Mildred E. Bierce IRA
Claimant Lawyers(s): James Jay Seltzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): John J. Fitzpatrick, William Michael Samsel, Mark Aaron Jones
Hearing Site: San Francisco, CA
| | $250 |
| 06-02189 | 11/14/2007 | Claimant(s): John Rauch
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Anne N. Deprez
Arbitrator(s): Lawrence W. Arness, David William Russell, Tim D. Bachus
Hearing Site: Indianapolis, IN
| | $100,300 |
| 06-02824 | 11/12/2007 | Claimant(s): Irving Becker
Claimant Lawyers(s): Jerome M. Selvers
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Karen L. Palermo
Arbitrator(s): John P. Bannon, Martin A. Edelstein, Steven David Leader
Hearing Site: Newark, NJ
| | |
| 06-05015 | 11/09/2007 | Claimant(s): Torsten Scholl, DEQ GMBH & Co. Venture KG
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): J.P. Morgan Securities., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joseph S. Simms, Timothy P. Burke
Arbitrator(s): Frank Muller, John E. Hansen, Court O. Anderson
Hearing Site: New York, NY
| | $0 |
| 06-03597 | 11/06/2007 | Claimant(s): Estate of Vera L. Freeberg
Claimant Lawyers(s): Jay William Jacobus
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Herb Schwartz, Linda M. McCoy, Mark Aaron Jones
Hearing Site: San Francisco, CA
| | $0 |
| 06-02538 | 10/31/2007 | Claimant(s): Bernard McDaniel
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Daniel Fais, Kevin Murphy, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Brian F. Amery
Arbitrator(s): Timothy F. Shanahan
Hearing Site: Boston, MA
| | Stipulated Award and Expungement |
