| 18-00178 | 12/07/2018 | Claimant(s): Mary Mullin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
| | |
| 18-00736 | 12/07/2018 | Claimant(s): John Paffendorf
Claimant Lawyers(s): Thomas C. Frost
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
| 18-01896 | 12/03/2018 | Claimant(s): William Blake
Claimant Lawyers(s): John R. Snyder
Respondent(s): Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Deirdre Wolff, Sarah K. Yates
Arbitrator(s): Nancy E. Watters
Hearing Site: Washington, DC
| | |
| 18-00916 | 11/07/2018 | Claimant(s): Brian Clark
Claimant Lawyers(s): Louis D. Tambaro
Respondent(s): Morgan Stanley, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jeremy S. Winer, Sarah K. Yates
Arbitrator(s): Paul Allan Massaro
Hearing Site: Newark, NJ
| | |
| 18-00464 | 11/05/2018 | Claimant(s): Thomas Prentice
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
| | |
| 18-01264 | 11/02/2018 | Claimant(s): Donald Bescher
Claimant Lawyers(s): Steven J. Berry
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
| | |
| 18-01857 | 10/31/2018 | Claimant(s): Gordon Glener
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
| | |
| 18-00519 | 10/25/2018 | Claimant(s): Iain Sharpe
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Raymond C. Kerr
Hearing Site: Houston, TX
| | |
| 18-00662 | 10/25/2018 | Claimant(s): Josephine White
Claimant Lawyers(s): Michael Bessette
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
| | |
| 18-00418 | 10/18/2018 | Claimant(s): Scott MacDonald
Claimant Lawyers(s): George C. Miller
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
