| 19-00339 | 02/25/2021 | Claimant(s): Michelle Marquez
Claimant Lawyers(s): Philip M. Aidikoff
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | |
| 18-03103 | 02/19/2021 | Claimant(s): Mattie M. Kelly 908 Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Michael H. McConihe, Peter A. Roche, Mimi Vivien Turin
Hearing Site: Boca Raton, FL
|  | Dismissed by Rule 12212 |
| 20-02657 | 02/18/2021 | Claimant(s): Everett Weinberger, William Giordano
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Alice E. Winkler
Hearing Site: New York, NY
| | |
| 20-02456 | 02/17/2021 | Claimant(s): Steven Quinly
Claimant Lawyers(s): Robert L Gonser
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Peter H. Daly
Hearing Site: San Francisco, CA
| | |
| 18-02661 | 02/12/2021 | Claimant(s): Louis Maryland, Louis Maryland Trust Estate, Louis Maryland Sec. 142 Trust
Claimant Lawyers(s): Craig K. Hemphill
Respondent(s): Julia Klammer, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Evan Way
Arbitrator(s): Daniel J. Pagnano, William Walter Cathriner, Tracie Jackson
Hearing Site: Houston, TX
| | Expungement |
| 20-01622 | 02/03/2021 | Claimant(s): David Eidell, Derek Christian
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Philip J. Glick
Hearing Site: Chicago, IL
| | |
| 20-02067 | 02/01/2021 | Claimant(s): Peter Schallmoser
Claimant Lawyers(s): Peter A. Schallmoser
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Jerome F. Crotty, Thomas P. Valenti, Alicia Hilton
Hearing Site: Chicago, IL
| | |
| 20-02448 | 01/29/2021 | Claimant(s): Brian Schiller
Claimant Lawyers(s): Amy B. Bard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | |
| 20-00635 | 01/28/2021 | Claimant(s): Colette Wigart
Claimant Lawyers(s): Colette Erica Wigart
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angelina T. Evans
Arbitrator(s): Dean J. Dietrich
Hearing Site: Reno, NV
| | |
| 20-01465 | 01/28/2021 | Claimant(s): Brian Addington
Claimant Lawyers(s): Brian Luther
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): John J. Flynn
Hearing Site: San Francisco, CA
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