| 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
| | |
| 18-04171 | 08/09/2023 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward J. Heffernan
Respondent(s): Michael Gloster
Respondent Lawyers(s): Mark L. Kowalsky
Arbitrator(s): Felicia Gail Harris, Gail K. Barski-McCracken, William Napoleone
Hearing Site: Detroit, MI
| | |
| 22-02663 | 07/24/2023 | Claimant(s): Danny Kamal
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Deirdre Wolff, Laura A. Pizzitola
Arbitrator(s): Larry Mims
Hearing Site: Atlanta, GA
| | |
| 22-00324 | 07/06/2023 | Claimant(s): Amir Golzar
Claimant Lawyers(s): Zachary Morse
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason E. Murtagh
Arbitrator(s): Sandra L. Malek
Hearing Site: Los Angeles, CA
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