| 12-01252 | 03/25/2014 | Claimant(s): Shaun Moran
Claimant Lawyers(s): Shaun Moran
Respondent(s): Banc of America Securities LLC, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Walter C. Parrish, David J. Weisenfeld, Barbara Antonello Mentz
Hearing Site: New York, NY
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| 13-01525 | 03/14/2014 | Claimant(s): David Diaz
Claimant Lawyers(s): Robert Harris
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Alexander Sarafoglu
Arbitrator(s): Marc T. Danon
Hearing Site: Boca Raton, FL
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| 12-03559 | 03/13/2014 | Claimant(s): Joe Hernandez
Claimant Lawyers(s): Joe Hernandez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Teri L. Danish
Arbitrator(s): Ann Blaess Kimball
Hearing Site: Dallas, TX
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| 13-00319 | 03/13/2014 | Claimant(s): Douglas Singer
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Teri L. Danish
Arbitrator(s): Richard D. Fincher, Loren Scott Buell, Ronald Arthur Kloth
Hearing Site: Phoenix, AZ
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| 12-03926 | 02/21/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason K. Roberts
Respondent(s): Turker Ergun
Respondent Lawyers(s): Turker Ergun
Arbitrator(s): Robert D. Sussin, Robert S. Fash, Norman Michael Garland
Hearing Site: Los Angeles, CA
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| 13-01124 | 02/21/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Jason Buscaglia
Respondent Lawyers(s): Jason Robert Buscaglia
Arbitrator(s): Charles Kleinbaum
Hearing Site: New York, NY
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| 13-02392 | 02/13/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachael L. Carp
Respondent(s): Jose Carbajal
Respondent Lawyers(s): Jose A. Carbajal
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
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| 11-03843 | 02/11/2014 | Claimant(s): Alejandro Quilez Bonelli
Claimant Lawyers(s): Carlos R. Iguina-Oharriz
Respondent(s): Andres Lewowicz, Hector Gonzalez, Hector Rosario, Jose Casellas, Juan Herrans, Merrill Lynch Pierce Fenner & Smith Inc., Ricardo Vazquez, Richard Reiss
Respondent Lawyers(s): Edward J. Heffernan
Arbitrator(s): Steven N. Ainbinder, Daniel P. Lund, Robert J. Bender
Hearing Site: San Juan, PR
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| 11-03138 | 02/06/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Mark Passalacqua
Respondent Lawyers(s): Frank A. Lightmas
Arbitrator(s): James G. Killough, Robert G. Brunton, Robert A. Dean
Hearing Site: Atlanta, GA
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| 13-00646 | 01/30/2014 | Claimant(s): Robert Goll, The Pauline Goll Trust
Claimant Lawyers(s): August M. Iorio
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Stuart M. Schwartz
Hearing Site: Buffalo, NY
|  | Expungement |
