| 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 |
| 06-00811 | 10/30/2007 | Claimant(s): Grace Weber, Elwood and Grace Weber
Claimant Lawyers(s): Michael P. McClaren
Respondent(s): Advest., Edward Carlsen, Merrill Lynch Pierce Fenner & Smith Inc., Roger Faulring
Respondent Lawyers(s): James D. Vannah, Paul K. Stecker
Arbitrator(s): Eugene M. Setel, Karin A. Schlosser, Michael Allen Zeiler
Hearing Site: Buffalo, NY
| | $685,170 |
| 04-00832 | 10/25/2007 | Claimant(s): Georgette Amato, Joseph Amato, JJR Realty Co.
Claimant Lawyers(s): Monica E. De Los Rios
Respondent(s): Joseph Berkery, Merrill Lynch Pierce Fenner & Smith Inc., Mike Leber
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Dennis C. Meyerson, Frank Irizarry, Allen D. Unterweiser
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 06-03972 | 10/24/2007 | Claimant(s): George Nordike
Claimant Lawyers(s): George Nordike
Respondent(s): Israel Epstein, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael E. Olney
Arbitrator(s): Barbara J. Glenns, Annette B. Meyers, James M. Rhodes
Hearing Site: New York, NY
| | $250 |
| 06-00182 | 10/18/2007 | Claimant(s): M. McKinney, Merrimac Corporation
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Anne N. DePrez
Arbitrator(s): Daniel P. Urban, Joseph V. Simeri, Zachary Ryan Schroer
Hearing Site: Indianapolis, IN
| | $3,321,440 |
| 02-07725 | 10/16/2007 | Claimant(s): Barbara Doop
Claimant Lawyers(s): Jakes Jordaan
Respondent(s): David Komansky, Deepak Raj, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel R. Sharp, Pamela C. Serranzana
Arbitrator(s): William L. Dorcy, James K. Pittman, Thomas Mark Zeller
Hearing Site: Dallas, TX
| | Expungement |
| 04-05063 | 10/09/2007 | Claimant(s): Fanam
Claimant Lawyers(s): Louis F. Burke
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joshua R. Cohen
Arbitrator(s): Jeffrey M. Bain, Gary R. Miles, Mitchell B. Goldberg
Hearing Site: Cleveland, OH
| | $700,000 |
| 05-04592 | 10/05/2007 | Claimant(s): Vinu and Smita Patel
Claimant Lawyers(s): Philip D. Sever
Respondent(s): Jigar Patel, Merrill Lynch Pierce Fenner & Smith Inc., Michael Miros
Respondent Lawyers(s): D. Michael O'Neil, Philip D. Sever
Arbitrator(s): Wallace E. Sarran, David W. Stanton, Lisa Shusterman
Hearing Site: Cincinnati, OH
| | Expungement |
