FINRA Awards for Merrill Lynch Pierce Fenner & Smith Inc.

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Displaying 1,221-1,227 out of 1,227 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
06-02201	09/14/2007	Claimant(s): Advest., Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Patricia Sons Biswanger Respondent(s): James Montalto, James Weil Respondent Lawyers(s): Elise Schwarz Arbitrator(s): Nancy Plesser Wendell, Michael Todd Clements, Robert W. Kenter Hearing Site: New York, NY
06-02499	09/14/2007	Claimant(s): Advest., Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Patricia Sons Biswanger Respondent(s): James Montalto Respondent Lawyers(s): Elise Schwarz Arbitrator(s): Hearing Site: New York, NY
06-01674	09/04/2007	Claimant(s): Mark Quale Claimant Lawyers(s): Theodore G. Eppenstein Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Carol B. Trask Arbitrator(s): Marc Kalish, Beryl I. Dulsky, Denis Frank Hearing Site: Phoenix, AZ
04-01862	08/27/2007	Claimant(s): Virginia Kent, Louis and Virginia Kent Claimant Lawyers(s): Martyn B. Hill Respondent(s): Louis Kent, M. Bowles, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Alan S. Rafterman, Martyn B. Hill Arbitrator(s): Raymond E. Jennison, Carol A. Freeland, Patricia B. Lehtola Hearing Site: Dallas, TX		$0
06-02395	08/24/2007	Claimant(s): James Rusciano Claimant Lawyers(s): Larry Kars Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Michael Busco Respondent Lawyers(s): Dan A. Rosenbaum, David J. Butler Arbitrator(s): Cynthia A. DiMarco, Andrew H. Freund, Robert T. Costello Hearing Site: New York, NY		Stipulated Award and Expungement
07-01122	08/13/2007	Claimant(s): Carlo Rossell Claimant Lawyers(s): Carlo E. Rossell Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Carol B. Trask Arbitrator(s): Brenna L. Stewart Hearing Site: New York, NY
07-00223	08/13/2007	Claimant(s): Richard Caris Claimant Lawyers(s): Robert D. Mitchell Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Joseph L. Hood Arbitrator(s): Marc Kalish, Robert W. Bruns, Curtis L. Ritland Hearing Site: Phoenix, AZ		$690,430