| 18-01095 | 10/17/2018 | Claimant(s): John Hudspeth
Claimant Lawyers(s): Todd Gutfleisch
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Joseph H. Cerame
Hearing Site: Newark, NJ
| | |
| 17-01152 | 10/04/2018 | Claimant(s): Joan Gara
Claimant Lawyers(s): Adam J. Gana
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey, Karl L. Marquardt
Arbitrator(s): Langfred W. White, Victoria G.A. Willingham, Brian Michael Kane
Hearing Site: Jacksonville, FL
|  | Expungement |
| 18-00398 | 09/27/2018 | Claimant(s): Young Chung
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Herbert Liberman
Hearing Site: San Diego, CA
| | |
| 18-00520 | 09/27/2018 | Claimant(s): Iain Sharpe
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah Yates
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 17-02232 | 09/18/2018 | Claimant(s): Avi Tansman Revocable Trust
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
| | $0 |
| 18-00473 | 08/31/2018 | Claimant(s): David Christensen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
| | |
| 18-00698 | 08/31/2018 | Claimant(s): Mark Birringer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah Yates
Arbitrator(s): Charles Orlove
Hearing Site: Chicago, IL
| | |
| 18-00290 | 08/14/2018 | Claimant(s): Kenneth Hill
Claimant Lawyers(s): Eric Litow
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Leonard E. Benade
Hearing Site: Raleigh, NC
| | |
| 18-01025 | 08/13/2018 | Claimant(s): Terrance Joseph
Claimant Lawyers(s): Terrance Joseph
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): John F. Allgood
Hearing Site: Atlanta, GA
| | |
| 17-00062 | 08/13/2018 | Claimant(s): Guy Gannett Trust FBO Corson/Williams, Guy Gannett Trust FBO J. Gannett, et al
Claimant Lawyers(s): Justin Sauerwald
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Timothy P. Burke
Arbitrator(s): Richard J. Fuller, Elizabeth A. Townes, Sydney E. Blum
Hearing Site: Tampa, FL
| | Expungement |
