| 23-01852 | 12/21/2023 | Claimant(s): Dario Ochoa
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
| | |
| 22-02280 | 12/20/2023 | Claimant(s): Christopher Fusco
Claimant Lawyers(s): Leila M. Shaver
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angelina T. Evans
Arbitrator(s): Christopher W. Allick, Shawn Ridgell, Lemuel Cruz Costibolo
Hearing Site: San Francisco, CA
| | |
| 23-01483 | 12/19/2023 | Claimant(s): Carolyn Martin, Stephanie Groschup
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | |
| 22-01671 | 12/18/2023 | Claimant(s): Gelila Jones, Jay Jones
Claimant Lawyers(s): Jonathan Schwartz
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Jacquelyn M. Shannon, Terrence L. Harvey, Catherine Michelle Straley-Edson
Hearing Site: Jacksonville, FL
|  | Expungement |
| 22-01351 | 12/18/2023 | Claimant(s): William Keeney
Claimant Lawyers(s): Jeremy L. Bartell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Gene M. Bauer, William Robinson Driscoll, Stephen James McLaughlin
Hearing Site: Boston, MA
| | |
| 22-02466 | 12/11/2023 | Claimant(s): Cordia Swanson
Claimant Lawyers(s): Cordia Swanson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Randy R. Maher, David L. Moran, Hugh James Anderson
Hearing Site: Las Vegas, NV
| | Dismissed by Rule 12504(a)(6)(B) |
| 23-01302 | 12/08/2023 | Claimant(s): Douglas Woolley
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
| | |
| 23-00321 | 12/06/2023 | Claimant(s): Scott Baker
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Michael J Norton
Hearing Site: Denver, CO
| | |
| 23-01763 | 11/21/2023 | Claimant(s): Mark Hopper
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Gerald Silverman
Hearing Site: Boca Raton, FL
| | |
| 23-00743 | 11/20/2023 | Claimant(s): Yang Nie
Claimant Lawyers(s): Everett Pritchard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason E. Murtagh
Arbitrator(s): Edith N. Dinneen
Hearing Site: Los Angeles, CA
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