| 11-02044 | 11/13/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Alex Bolshem
Respondent Lawyers(s): Alex Bolshem
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | |
| 14-00770 | 10/31/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Monica M. Littman
Respondent(s): Gifford Crosby
Respondent Lawyers(s): Gifford Winston Crosby
Arbitrator(s): Louis M. Parker
Hearing Site: Phoenix, AZ
| | |
| 14-00819 | 10/31/2014 | Claimant(s): Barbara Gusie, Carl Gusie
Claimant Lawyers(s): Rasheed Karim Allen
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Steven Dempsey
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Alfred Brunette
Hearing Site: Tampa, FL
|  | $0 |
| 13-01771 | 10/29/2014 | Claimant(s): Robert Brendell
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., William Seyle
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Jim Geiger, John Michael Derderian, L. Martin Miller
Hearing Site: Philadelphia, PA
| | Expungement |
| 12-03351 | 10/28/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance Inc.
Claimant Lawyers(s): Ciana Williams
Respondent(s): Janice Johnston
Respondent Lawyers(s): W. Asa Hutchinson
Arbitrator(s): J. Maxwell Williams
Hearing Site: Little Rock, AR
| | |
| 13-02842 | 10/28/2014 | Claimant(s): Alaa Elhamrawy
Claimant Lawyers(s): Alaa Elhamrawy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Chesley Oriel, Zenon Charles Tencza, Evalyn Lipton Fishbein
Hearing Site: Boston, MA
| | $0 |
| 13-02941 | 09/18/2014 | Claimant(s): Russell Hartung IRRA, Joan C. Hartung Trust J U/A DTD 07/06/93
Claimant Lawyers(s): William B. Young
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Thomas Joseph Atkinson, Floyd Edward Roberts, Alan E. Linden
Hearing Site: Orlando, FL
| | Expungement |
| 12-01209 | 09/05/2014 | Claimant(s): Charles Kinbar, Evelyn Kinbar
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Cynthia H. Plishtin, Joseph H. Cerame, Marilyn Chin
Hearing Site: Newark, NJ
| | Expungement |
| 13-03494 | 08/19/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Joseph L. Gordon
Respondent(s): Michael Climer
Respondent Lawyers(s): Michael Wayne Climer
Arbitrator(s):
Hearing Site: Charlotte, NC
| | |
| 13-01387 | 08/19/2014 | Claimant(s): Daniel Cohen, Daniel L. Cohen 1980 Irrevocable Trust
Claimant Lawyers(s): James L. Parks, Thomas J. Meagher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Eric A. Herzog, Michael G. Shannon, Trae D. Meyr
Arbitrator(s): Kenneth E. Owen, W. Alex King, Peggy Jane Fisher
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12504 |
