| 14-00150 | 08/18/2016 | Claimant(s): David Vallieres
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Christopher Seebeck, David Ridge, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James Christopher Lombardo, Joel M. Everest
Arbitrator(s): Lucie L. Sabella, Myron E. Levenson, Tina Scott Polsky
Hearing Site: Boca Raton, FL
| | |
| 16-01130 | 08/15/2016 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Michael Bradford
Respondent Lawyers(s): Michael Dean Bradford
Arbitrator(s): Bertrand C. Moser
Hearing Site: Houston, TX
| | |
| 15-00982 | 08/11/2016 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Andrew M. DeLucia
Respondent(s): Billy Allen
Respondent Lawyers(s): Billy Wayne Allen
Arbitrator(s): Jeff Abrams
Hearing Site: Little Rock, AR
| | |
| 14-00381 | 08/04/2016 | Claimant(s): Joel Marius
Claimant Lawyers(s): W. D. Masterson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Janell M. Ahnert
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
| | |
| 15-01408 | 08/02/2016 | Claimant(s): Randi Dukoff
Claimant Lawyers(s): Timothy J. O'Connor, Esq.
Respondent(s): Joel Joachim, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
|  | Dismissed by Rule 12206 |
| 14-03676 | 08/02/2016 | Claimant(s): Earl Schlegel, Virginia Schlegel
Claimant Lawyers(s): Earl J. Schlegel
Respondent(s): Ann Hollis, Merrill Lynch Pierce Fenner & Smith Inc., Mitzi Michaelson
Respondent Lawyers(s): Alex Sabo
Arbitrator(s): Martin M. Van Luven
Hearing Site: Jacksonville, FL
| | $0 |
| 14-00698 | 07/29/2016 | Claimant(s): Heath Dowell
Claimant Lawyers(s): W.D. Masterson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jannell M. Ahnert
Arbitrator(s): Maxel (Bud) B. Silverberg
Hearing Site: Dallas, TX
| | |
| 14-02694 | 07/15/2016 | Claimant(s): Larry and Carol Wiles, ATBE
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Steven M. Feder, Richard J. Lawrence, Wylie G. Hairgrove
Hearing Site: Denver, CO
| | Expungement |
| 16-00641 | 07/14/2016 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason E Murtagh
Respondent(s): Jesse Smith
Respondent Lawyers(s): Jesse Derek Smith
Arbitrator(s): Michael M. Hachigian
Hearing Site: Los Angeles, CA
| | |
| 14-01580 | 06/29/2016 | Claimant(s): Noor Barsar
Claimant Lawyers(s): Jared Levy
Respondent(s): Wells Fargo Advisors, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joelle A. Simms, Patricia E. Cowart
Arbitrator(s): Marc T. Danon, Carl Shechter, Herbert Branitsky
Hearing Site: Boca Raton, FL
| | Expungement |
