| 15-03258 | 04/26/2016 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Lisa Fildes
Respondent(s): Ataf Nabli
Respondent Lawyers(s): Ataf Nabli
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | |
| 14-03312 | 04/26/2016 | Claimant(s): Frank Munnerlyn, Margaret Munnerlyn
Claimant Lawyers(s): Ariel S. Rosenzveig
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Sandra Gale Behrle, Robert E. Anderson, Fern Sue Reidman
Hearing Site: New York, NY
|  | Expungement |
| 15-02656 | 04/22/2016 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Janelle E. Fulton
Respondent(s): Robert Gutner
Respondent Lawyers(s): Robert Lloyd Gutner
Arbitrator(s): George G. Kurschner
Hearing Site: Boca Raton, FL
| | |
| 14-00176 | 04/19/2016 | Claimant(s): Luis Siaca, New Century Development.
Claimant Lawyers(s): Edward H. Glenn, Marie Elsie Lopez Adames
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew Wolper
Arbitrator(s): Marie G. Peterson, Harry G. Mason, Robert G. Falbisaner
Hearing Site: San Juan, PR
| | Expungement |
| 15-00140 | 04/12/2016 | Claimant(s): Robert Bowman
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Rima F. Hartman
Arbitrator(s): Jim Geiger, John P. Azzopardi, Donald S. Bauman
Hearing Site: Philadelphia, PA
| | |
| 13-03262 | 03/17/2016 | Claimant(s): Manuel Batlle, Cabat Company
Claimant Lawyers(s): Lloyd R. Schwed
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Randy R. Freedman, Robert G. Falbisaner, Alberto G. Estrella
Hearing Site: San Juan, PR
| | Stipulated Award and Expungement |
| 15-00307 | 03/11/2016 | Claimant(s): RS International Group Limited
Claimant Lawyers(s): Brian Levin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Coren H. Stern
Arbitrator(s): Bernard A. Becker, Gerald H. Grayson, Theodore Roy Bayer
Hearing Site: Miami, FL
| | $0 |
| 13-02709 | 03/03/2016 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward G. Winsman
Respondent(s): Douglas Smith
Respondent Lawyers(s): Gregory D. Ellis
Arbitrator(s): Gene E. Carasick, Harry G. Mason, Brian Walsh Devlin
Hearing Site: Atlanta, GA
| | |
| 14-01623 | 03/02/2016 | Claimant(s): Rodolfo Romero
Claimant Lawyers(s): Steven Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s):
Hearing Site: Houston, TX
| | Expungement |
| 15-00661 | 02/26/2016 | Claimant(s): Robert Flemming and Josephine Flemming
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Patrick R. Westerkamp, Esq.
Hearing Site: Philadelphia, PA
| | Dismissed by Rule 12206 |
