| 17-02414 | 03/02/2018 | Claimant(s): Barry Rubin
Claimant Lawyers(s): John Stewart
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
| | |
| 17-02695 | 02/22/2018 | Claimant(s): James Starling
Claimant Lawyers(s): James Ralph Starling
Respondent(s): Douglas Hornberger, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Michele Ann Ledo
Hearing Site: Raleigh, NC
|  | $425 |
| 17-00492 | 02/16/2018 | Claimant(s): Estate of Marianna Antoniou
Claimant Lawyers(s): John M O'Connor
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Clarence Smith, Sam Antar, Harvey E. Benjamin
Hearing Site: New York, NY
| | $0 |
| 15-01322 | 02/09/2018 | Claimant(s): Winnie Fang
Claimant Lawyers(s): William W. Palmer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric A. Herzog
Arbitrator(s): Laurel Littman Gothelf, Barbara M. Anscher, Gary S. DeWeese
Hearing Site: San Francisco, CA
| | $0 |
| 16-02374 | 02/08/2018 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Janelle E.. Fulton
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): John B. Sochacki
Hearing Site: Boca Raton, FL
| | |
| 15-01481 | 01/31/2018 | Claimant(s): Eunice Becker
Claimant Lawyers(s): Frank R. Schirripa
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Stuart Daniels
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Ruthann Granito, Sidney N. Weiss, Robert E. Anderson
Hearing Site: New York, NY
| | Expungement |
| 17-01290 | 01/24/2018 | Claimant(s): Nicholas & Erika Schwartz Rev Trust
Claimant Lawyers(s): Erika Schwartz
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Denver G. Edwards
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | $300 |
| 16-01569 | 01/19/2018 | Claimant(s): Dvora Weinstein, Steven Weinstein, Steven S Weinstein MD PC
Claimant Lawyers(s): Jacob Z. Weinstein
Respondent(s): Bryan Dunst, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Judith C. Zerden, Shelley Teitelbaum, Doris B. Nathan
Hearing Site: New York, NY
| | Expungement |
| 16-02710 | 01/19/2018 | Claimant(s): Marcus Nagel, Matthew Nagel
Claimant Lawyers(s): Marcus Nagel
Respondent(s): David Warren, Citigroup Global Markets., UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Adam M. Kauff, Andrew W. Sidman, Denver G. Edwards
Arbitrator(s): Steven Gourley, Howard A. Emirhanian, George Herman Frisch
Hearing Site: Los Angeles, CA
| | Dismissed by Rule (12200/12201) |
| 16-03179 | 01/18/2018 | Claimant(s): Gigi Jordan, The Hawk Mountain LLC, Michelle Mitchell, Intercession Trust
Claimant Lawyers(s): Daniel J. Kornstein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth I. Schacter
Arbitrator(s): Judith C. Zerden, Ronald F. Rosner, Maya Steinitz
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
