| 19-01052 | 10/22/2019 | Claimant(s): Joshua Kampf, Thomas Hutchison
Claimant Lawyers(s): Joel Wertman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Robert Titus, Richard Hallett Nichol, Michael P. Breton
Hearing Site: Hartford, CT
| | |
| 19-00170 | 10/17/2019 | Claimant(s): Alan Brookshire
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Jason Alexander Diamond
Hearing Site: Charlotte, NC
| | |
| 18-03492 | 10/14/2019 | Claimant(s): William Siu
Claimant Lawyers(s): Jon A Titus
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Richard Kent Mahrle, John Joseph Welsh, Jerome Allan Landau
Hearing Site: Phoenix, AZ
|  | $330,000 |
| 18-03995 | 10/04/2019 | Claimant(s): Craig Kinard, Guido Graff
Claimant Lawyers(s): Jason S. Pinney
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s):
Hearing Site: New York, NY
| | |
| 19-00413 | 10/04/2019 | Claimant(s): Robert Rose
Claimant Lawyers(s): Frances Menzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Herbert Liberman
Hearing Site: San Diego, CA
| | |
| 19-00084 | 09/18/2019 | Claimant(s): Nicholas Economos
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Kenneth Paul Strongman
Hearing Site: San Francisco, CA
| | |
| 19-00386 | 09/10/2019 | Claimant(s): Carl Gordinier
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Steven T. Stern
Hearing Site: Philadelphia, PA
| | |
| 18-04373 | 09/05/2019 | Claimant(s): Amanda Hinton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Lynne M. Gomez
Hearing Site: New Orleans, LA
| | |
| 19-00390 | 08/29/2019 | Claimant(s): Ron Zimmermann
Claimant Lawyers(s): Michael Bessette
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Susan M. Thevenet
Hearing Site: Denver, CO
| | |
| 18-01899 | 08/28/2019 | Claimant(s): James Porz
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Harvey Barrison, Philip J De Bellis, Patricia Kathleen Costello
Hearing Site: New York, NY
| | Dismissed by Rule 12206/12504 |
