| 18-00145 | 08/07/2018 | Claimant(s): Ashley Katt
Claimant Lawyers(s): Robert A. Klingler
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Janell Ahnert
Arbitrator(s): David F. Barrett
Hearing Site: Cincinnati, OH
| | |
| 17-03132 | 07/27/2018 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason E Murtagh
Respondent(s): Michael Frischman
Respondent Lawyers(s): Michael Bruce Frischman
Arbitrator(s): Mark Thomas Risner
Hearing Site: Los Angeles, CA
| | |
| 17-03155 | 07/25/2018 | Claimant(s): Peter Inserra
Claimant Lawyers(s): Owen Harnett
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn Dietrich Perreault
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
| | |
| 17-03338 | 07/19/2018 | Claimant(s): Michael Loesberg
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
|  | $0 |
| 17-03169 | 07/17/2018 | Claimant(s): Richard Homuth
Claimant Lawyers(s): Eric Litow
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah Yates
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Kansas City, MO
| | |
| 17-03241 | 07/10/2018 | Claimant(s): Samuel Belsito
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael R. Gaico, Sarah K. Yates
Arbitrator(s): Robert E. Anderson
Hearing Site: Hartford, CT
| | |
| 17-02104 | 06/26/2018 | Claimant(s): Leslie and Joel Greenberg
Claimant Lawyers(s): Joel M. Greenberg
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Steven Davidson, Merrill Lynch Wealth Management
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Sandra J. Mullings, Michael J. Maran, John J. Vesey
Hearing Site: New York, NY
| | $0 |
| 17-00458 | 06/11/2018 | Claimant(s): Anita Eubank
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Steven Quinly
Respondent Lawyers(s): Robert Gonser, Tara A. LaClair
Arbitrator(s): Joyce L. Hurley, Olivia J. Valentine, Robert Weston Armstrong
Hearing Site: Los Angeles, CA
| | Expungement |
| 17-00166 | 06/07/2018 | Claimant(s): Thomas Yague
Claimant Lawyers(s): Thomas L. Gourde
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Timothy Owen
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Mario H. Metzger, Benjamin F. Breslauer, Robert Dean McKinley
Hearing Site: Los Angeles, CA
| | Expungement |
| 18-00318 | 05/30/2018 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Bruce Townsend
Respondent Lawyers(s): Bruce Newell Townsend
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
| | |
