| 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 |
