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FINRA Awards for Merrill Lynch Pierce Fenner & Smith Inc.

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Displaying 31-40 out of 1,234 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0144702/16/2024Claimant(s): Heath Harris
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Thomas J. Dolina
Hearing Site: Baltimore, MD
22-0276802/15/2024Claimant(s): Patrick Dwyer
Claimant Lawyers(s): Daniel Zinman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Robert G. Falbisaner
Hearing Site: Boca Raton, FL
23-0134102/14/2024Claimant(s): Champ Warren
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Jeffrey R. Jury
Hearing Site: Houston, TX
23-0105602/14/2024Claimant(s): John Lahoud
Claimant Lawyers(s): Michael Bessette
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John Murphy, Laura A. Pizzitola
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
21-0034502/07/2024Claimant(s): David Ingle
Claimant Lawyers(s): Owen Harnett
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
23-0142702/06/2024Claimant(s): Lars Olson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Mark A. Sipper
Hearing Site: Columbus, OH
23-0204301/26/2024Claimant(s): Charles Teixeira
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): John Michael Bergin
Hearing Site: New York, NY
23-0140001/22/2024Claimant(s): Roberto Vila
Claimant Lawyers(s): William Bean
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: San Diego, CA
22-0162901/03/2024Claimant(s): Lu Yu
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason E. Murtagh
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
22-0142012/28/2023Claimant(s): Brian Wells
Claimant Lawyers(s): Brian Wells
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Professional Clearing Corp, BOFA Securities.
Respondent Lawyers(s): Ronald Smith
Arbitrator(s): William A. Barrett, Linda J. Baer, Gregory Hunter Mathews
Hearing Site: Manchester, NH
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