| 20-02207 | 01/26/2021 | Claimant(s): Phillips Huffman
Claimant Lawyers(s): Ryan S. Lean
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Thomas E Shuck
Hearing Site: Los Angeles, CA
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| 20-01980 | 01/25/2021 | Claimant(s): Paul Barry
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Manchester, NH
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| 19-02481 | 01/22/2021 | Claimant(s): Salvatore Mansueto
Claimant Lawyers(s): Jeremy L. Bartell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Jeffrey P. Petrucelly, Gene M. Bauer, Tristan Nicholas Ostronic
Hearing Site: Boston, MA
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| 20-01317 | 01/12/2021 | Claimant(s): Lori Sackler
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
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| 19-01170 | 01/08/2021 | Claimant(s): Stuart Beinhacker
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Clarence Smith, Donna Christina Chin, Elisse R. Stern
Hearing Site: New York, NY
|  | Expungement |
| 20-02193 | 12/22/2020 | Claimant(s): Jeffrey Karitis
Claimant Lawyers(s): Amy B. Bard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | |
| 18-02235 | 12/21/2020 | Claimant(s): Carlos Scarano Garcia
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin, Peter Fruin, Roberto C. Quinones
Arbitrator(s): Richard Carl Smukler, Basheera-Alia James, Robert Stewart Barney
Hearing Site: San Juan, PR
| | Settlement |
| 20-01493 | 12/17/2020 | Claimant(s): Dennis Hall
Claimant Lawyers(s): Susan M. Kelleher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Linda J. Baer
Hearing Site: Jersey City, NJ
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| 20-01589 | 12/11/2020 | Claimant(s): Lorena Moudi
Claimant Lawyers(s): Robert L Gonser
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
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| 19-03841 | 12/08/2020 | Claimant(s): Alex Muscati
Claimant Lawyers(s): Kurt T. Kalberer
Respondent(s): Prudential Equity Group, Morgan Stanley, Wachovia Securities, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Anthony Paduano, Christopher M. Sacco, Joelle A. Simms, Patricia E. Cowart
Arbitrator(s): Mimi B. Osiason
Hearing Site: Tampa, FL
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