| 17-00793 | 02/15/2019 | Claimant(s): Patricia Khaleghi, The Clarence Burr Living Trust
Claimant Lawyers(s): William B. Federman
Respondent(s): Brian Johnson, Carter Baumert, Merrill Lynch Pierce Fenner & Smith Inc., Michael Rodriguez
Respondent Lawyers(s): Tara LaClair
Arbitrator(s): Michael R. Prescott, Robert J. Gregory, Edward J. Lynch
Hearing Site: Oklahoma City, OK
|  | Expungement |
| 18-02363 | 02/13/2019 | Claimant(s): Michael Casey
Claimant Lawyers(s): Clinton Marrs
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew I. Penfield
Arbitrator(s): Anthony D. DeToro, Philip H. Marmurowski, Paul E. Dahlman
Hearing Site: Las Vegas, NV
| | |
| 18-02188 | 02/12/2019 | Claimant(s): Simon Holford
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | |
| 18-01908 | 02/11/2019 | Claimant(s): Steven Flagg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | |
| 18-02665 | 02/06/2019 | Claimant(s): James Shawver
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Independent Financial Group.
Respondent Lawyers(s): Joel M. Everest, Sarah J. Kreisman
Arbitrator(s): Monroe Mitchel
Hearing Site: Boca Raton, FL
| | |
| 18-02831 | 02/06/2019 | Claimant(s): Marva Monroe
Claimant Lawyers(s): Marva M. Monroe
Respondent(s): Banc of America Securities LLC, Merrill Lynch Pierce Fenner & Smith Inc., Paul Donofrio
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Bruce W. Bennett
Hearing Site: Atlanta, GA
| | $0 |
| 18-02451 | 02/05/2019 | Claimant(s): Richard Potashner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Herbert Liberman
Hearing Site: Salt Lake City, UT
| | |
| 17-03316 | 02/04/2019 | Claimant(s): Nicholas McClanahan
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth I. Schacter
Arbitrator(s): Ray J. Grzebielski, Gerald F DeNotto, Robert S. Grabemann
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
| 18-02364 | 02/01/2019 | Claimant(s): Mark Callahan
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): David A. Schuler
Hearing Site: New Orleans, LA
| | |
| 18-02836 | 01/31/2019 | Claimant(s): Guarionex Berrido
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Janell M. Ahnert
Arbitrator(s): Nancy J. Cliff
Hearing Site: Miami, FL
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