FINRA Awards for Merrill Lynch Pierce Fenner & Smith Inc.

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Displaying 191-200 out of 1,227 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
20-02939	04/12/2021	Claimant(s): Christine Kelley Claimant Lawyers(s): Harris Freedman Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Kathryn D. Perreault Arbitrator(s): Thomas J. Patka Hearing Site: Tampa, FL
20-01997	04/10/2021	Claimant(s): Glen Ringwall, Mark Manion Claimant Lawyers(s): Jennifer P. Farrar Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Michael J. Meeusen Hearing Site: Milwaukee, WI
20-01507	04/08/2021	Claimant(s): Michael Morgan Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Carole G. Miller Arbitrator(s): David A. Schuler Hearing Site: Dallas, TX
19-01267	04/06/2021	Claimant(s): Jackie Sterling Claimant Lawyers(s): Steven Toskes Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Robert E. Goldberg Arbitrator(s): Harvey R. Linder, Stephen Earl Clark, Daniel Mora Hearing Site: Nashville, TN		Expungement
20-02509	04/05/2021	Claimant(s): Erik Bjerke Claimant Lawyers(s): Kurt Kalberer Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): James C. Hoover Hearing Site: Atlanta, GA
20-03252	04/01/2021	Claimant(s): Gregory Katulka Claimant Lawyers(s): Kurt Kalberer Respondent(s): Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Deirdre Wolff, Kathryn D. Perreault Arbitrator(s): James C. Hoover Hearing Site: Atlanta, GA
20-03763	03/31/2021	Claimant(s): Derek Hasselhoff Claimant Lawyers(s): Derek C. Hasselhoff Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Jennifer R. Willey Arbitrator(s): Thomas J. Dolina Hearing Site: Baltimore, MD		$213
20-02581	03/29/2021	Claimant(s): Thomas Threlfall Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Kathryn D. Perreault Arbitrator(s): Peter A. Goldman Hearing Site: New York, NY
20-03021	03/24/2021	Claimant(s): Hector Gonzalez Claimant Lawyers(s): Viviana I. Gonzalez-Irizarry Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Martin A. Feigenbaum Hearing Site: San Juan, PR
20-02322	03/19/2021	Claimant(s): Jon Lowther Claimant Lawyers(s): Jonathan Schwartz Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Patrick J. Mulligan Arbitrator(s): Richard S. Zaifert Hearing Site: Tampa, FL