| 17-00090 | 10/23/2017 | Claimant(s): Thomas Gray
Claimant Lawyers(s): John A. Hubbard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Robert J. Scafuri
Hearing Site: Detroit, MI
| | |
| 17-00575 | 10/23/2017 | Claimant(s): Gregory Hayes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn Perreault
Arbitrator(s): Elliot B. Platt
Hearing Site: Philadelphia, PA
| | |
| 16-02149 | 10/17/2017 | Claimant(s): John Yannick
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Rima Hartman
Arbitrator(s): Stuart K. Furman
Hearing Site: Orlando, FL
| | |
| 17-00742 | 10/16/2017 | Claimant(s): David Ciccone
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Matthew Stephen Duchesne
Hearing Site: Washington, DC
| | |
| 17-00509 | 10/13/2017 | Claimant(s): Scott Hood
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
| | |
| 16-00485 | 10/06/2017 | Claimant(s): Edward Villella, Mary Villella
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Martorana
Arbitrator(s): Stephen D Kursman, Michael S. Berman, Joseph Weinkle
Hearing Site: Pittsburgh, PA
|  | Expungement |
| 14-02368 | 10/05/2017 | Claimant(s): Myron Allen, Myron Allen IRA
Claimant Lawyers(s): Thomas Gruenbeck
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric A. Herzog
Arbitrator(s): Richard M. Norman, Gregory Douglas Stone, Holly Banafsheh
Hearing Site: Los Angeles, CA
| | $0 |
| 17-00449 | 09/27/2017 | Claimant(s): Adolfo Cordero
Claimant Lawyers(s): Luis F. Biason
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Simon Kopel
Respondent Lawyers(s): Tanya S. Lambrechts
Arbitrator(s): Richard Carl Smukler
Hearing Site: Miami, FL
| | Dismissed by Rule 12206 |
| 16-00100 | 09/12/2017 | Claimant(s): E. Clark
Claimant Lawyers(s): Thomas Clark
Respondent(s): John Francis, Maureen Bryan-Furgurson, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Howard R. Melamed, Tara A. LaClair, Thomas B. Snyder
Arbitrator(s): Peter H. Daly, Dean J. Dietrich, Marvin L. Watkins
Hearing Site: San Francisco, CA
| | Settlement |
| 14-00730 | 09/01/2017 | Claimant(s): Enrique Freiria
Claimant Lawyers(s): Normarie Rodriguez Perez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Robert J. Buchner, Susan G. Pinkston, Joseph Michael Librie
Hearing Site: San Juan, PR
| | Expungement |
