| 16-02865 | 01/10/2018 | Claimant(s): Michael Arnold
Claimant Lawyers(s): Daniel A Horowitz
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Thomas A. Linthorst
Arbitrator(s): Carol Maria Luttati
Hearing Site: Newark, NJ
| | |
| 15-03034 | 01/09/2018 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Michael Hopper
Respondent Lawyers(s): Michael Hopper
Arbitrator(s): Thomas A. Martin, Bertrand C. Moser, Stephen T. Johnson
Hearing Site: Houston, TX
| | |
| 16-01877 | 12/29/2017 | Claimant(s): Bright Lake Management LLC, Bright Lake LP
Claimant Lawyers(s): Ilan Preis
Respondent(s): Broadcort Capital Corporation, Jack Seibald, Merrill Lynch Pierce Fenner & Smith Inc., Michael Rosen, Robert Moore, Concept Capital Markets, Cowen Prime Services LLC, Merrill Lynch Professional Clearing Corp
Respondent Lawyers(s): Mark D. Knoll, Mark J. Hyland
Arbitrator(s): Anna M. Fanelli, Lynne M. Reid-McQueen, Richard Gee
Hearing Site: New York, NY
|  | $0 |
| 15-02707 | 12/22/2017 | Claimant(s): Bonnie Bolle, Robin Richardson, Estate of Byron Bolle
Claimant Lawyers(s): Melinda Jane Steuer
Respondent(s): Carlos Miranda, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric A. Herzog
Arbitrator(s): Ralph A. Cotton, Philip Ho, Robert M. Smith
Hearing Site: San Francisco, CA
| | $685,580 |
| 17-02129 | 12/14/2017 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): John J Allegretto
Respondent(s): Jonathan Fetner
Respondent Lawyers(s): Jonathan B Fetner
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Newark, NJ
| | |
| 15-00578 | 12/13/2017 | Claimant(s): Kelley Keys Best
Claimant Lawyers(s): Kelley Keys Best
Respondent(s): John Herpers, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Megan Roberts
Arbitrator(s): Gregory G. Gocek, Thomas L. Dueber, Margaret Ann Barrington
Hearing Site: Denver, CO
| | $0 |
| 17-00890 | 12/05/2017 | Claimant(s): Michael Greer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): A. Joel Klein
Hearing Site: Los Angeles, CA
| | |
| 17-00397 | 11/27/2017 | Claimant(s): Kent Habecker
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Robert E. Anderson
Hearing Site: Wilmington, DE
| | |
| 17-01494 | 11/27/2017 | Claimant(s): James Chiate
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Richard J. Stall
Hearing Site: Los Angeles, CA
| | |
| 16-03225 | 11/22/2017 | Claimant(s): Jonathan Friedman
Claimant Lawyers(s): Robert J. Harvey
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | Expungement |
