| 22-00521 | 10/26/2023 | Claimant(s): Mary Ann Miller, Estate of Angeline Cagliola
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): David M. Snyder, Kenneth R. Starr, Jacquelyn M. Shannon
Hearing Site: Tampa, FL
|  | Expungement |
| 23-00488 | 10/17/2023 | Claimant(s): David Carlor
Claimant Lawyers(s): David Carlor
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Ernest Edward Badway, Loretta Yin, Richard H Leitman
Hearing Site: Jersey City, NJ
| | |
| 22-00666 | 10/12/2023 | Claimant(s): Nikita Griffin
Claimant Lawyers(s): Nikita J. Griffin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Harvey R. Linder, Melissa Lianne George, Vincent Ray Davis
Hearing Site: Atlanta, GA
| | $0 |
| 23-01323 | 10/11/2023 | Claimant(s): Anjali Aiyappa, Ashok Aiyappa, Kavitha Aiyappa
Claimant Lawyers(s): Ashok Aiyappa
Respondent(s): Gregory Nerantzis, Merrill Lynch Pierce Fenner & Smith Inc., Peter Ambrose
Respondent Lawyers(s): Kathryn B. Rockwood
Arbitrator(s): David Paul Clark, Michael James Malone, Raymond Winston Suarez
Hearing Site: Washington, DC
| | Dismissed by Rule 12504 |
| 23-00986 | 09/27/2023 | Claimant(s): Philip Bradshaw
Claimant Lawyers(s): Katherine S. Bowles
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Daryl S. Landy
Arbitrator(s): Mitchell Lee Lathrop
Hearing Site: San Diego, CA
| | |
| 22-02861 | 09/25/2023 | Claimant(s): Karen Hoy
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Tracy L. Allen
Hearing Site: Cleveland, OH
| | |
| 22-02278 | 09/18/2023 | Claimant(s): Donovan Davis
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Simeon B. Reimonenq
Hearing Site: New Orleans, LA
| | |
| 23-00029 | 09/08/2023 | Claimant(s): Hector Gonzalez
Claimant Lawyers(s): Linette Figueroa-Torres
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
| | |
| 21-02535 | 08/30/2023 | Claimant(s): A. Link Partners.
Claimant Lawyers(s): Bruce D. Johnson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David Libowsky
Arbitrator(s): Howard L. Sobel, Norman Feit, Mitchell H Rubinstein
Hearing Site: New York, NY
| | Expungement |
| 22-02754 | 08/15/2023 | Claimant(s): James Moran
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Capitol Securities Management.
Respondent Lawyers(s): David J. Freniere, Laura A. Pizzitola
Arbitrator(s): Veronica Ann Williams
Hearing Site: Jersey City, NJ
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