| 18-01674 | 10/27/2020 | Claimant(s): Julio Julia, Yvonne Battistini
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Popular Securities.
Respondent Lawyers(s): Alan M. Wolper, Keith Olin
Arbitrator(s): Monica I. Salis, Langfred W. White, Susan Ruth Levin
Hearing Site: San Juan, PR
|  | $0 |
| 18-02940 | 10/22/2020 | Claimant(s): James Dullanty
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Marc Kalish, Rick L. Knuth, Donald Dreyfus
Hearing Site: Salt Lake City, UT
| | Dismissed by Rule 12206/12504 |
| 20-00915 | 10/20/2020 | Claimant(s): Gregory Achten
Claimant Lawyers(s): Kurt T. Kalberer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): David F. Barrett
Hearing Site: Cincinnati, OH
| | |
| 20-00600 | 10/20/2020 | Claimant(s): Mridula Anbarasan
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Julian F. Santos, Catherine Stewart, James F. Rohrman
Hearing Site: Newark, NJ
| | Dismissed by Rule 12206/12504 |
| 19-02271 | 10/16/2020 | Claimant(s): June Glover
Claimant Lawyers(s): Stephen P. Meyer
Respondent(s): Morgan Stanley, Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Abigail Elrod, Jeffery D. Rodgers, Jr., Regina Pepe Martorana
Arbitrator(s): Jeffrey M. Bain, Jane Tam, Anthony Cipiti
Hearing Site: Charleston, WV
| | Settlement |
| 20-00428 | 10/14/2020 | Claimant(s): Sylvester Knox
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Newark, NJ
| | |
| 19-02198 | 10/08/2020 | Claimant(s): Scott Roeth
Claimant Lawyers(s): Mitchell B. Katten
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jeff Goldman
Arbitrator(s): Kenneth N. Adamson, Marilee Roberg, Walter Patrick Giblin
Hearing Site: Chicago, IL
| | Settlement |
| 19-03113 | 10/07/2020 | Claimant(s): Matthew Yonally
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | |
| 20-01210 | 09/29/2020 | Claimant(s): Andoni Yturralde
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
| | |
| 20-00948 | 09/24/2020 | Claimant(s): Montee Sneed
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Nashville, TN
| | |
