| 12-00154 | 01/17/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Richard Marshall
Respondent Lawyers(s): Randall K. Calvert
Arbitrator(s): Kelley L. Cornelius, David William Lopp, Thomas Bentley Baines
Hearing Site: Oklahoma City, OK
| | |
| 10-04787 | 01/10/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Sean G. Duffy
Respondent(s): James Cooper
Respondent Lawyers(s): Michael Cooper
Arbitrator(s): Langdon T. Owen, Wendy L. Harris, Seymour A. Kolman
Hearing Site: Boise, ID
| | |
| 13-01809 | 01/10/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jennifer R. Ewing
Respondent(s): Jason Morgan
Respondent Lawyers(s): Debra Batten Bingham
Arbitrator(s): William F. Julavits
Hearing Site: Raleigh, NC
| | |
| 12-04074 | 01/06/2014 | Claimant(s): Gregory Zerillo
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): John G. Manley
Hearing Site: Nashville, TN
| | |
| 13-00967 | 12/30/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward G Winsman
Respondent(s): Todd Lisetski
Respondent Lawyers(s): Todd Steven Lisetski
Arbitrator(s): Walter R. Milbourne
Hearing Site: Philadelphia, PA
| | |
| 12-03730 | 12/27/2013 | Claimant(s): Hana Friedman
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Rocco Papandrea
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Sandra D. Parker, Lynne M. Reid-McQueen, Michael Jaffe
Hearing Site: New York, NY
|  | Expungement |
| 12-03358 | 12/23/2013 | Claimant(s): Stuart Allen
Claimant Lawyers(s): James H. West
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ronald D. Smith
Arbitrator(s): Leon Fox, Pamela A. Kentra, Michael I. White
Hearing Site: Chicago, IL
| | Expungement |
| 12-02692 | 12/20/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Edward G. Winsman
Respondent(s): Seth Goldberg
Respondent Lawyers(s): Mark Chester
Arbitrator(s): Bruce R. Heurlin
Hearing Site: Phoenix, AZ
| | |
| 13-02204 | 12/17/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jennifer R. Ewing
Respondent(s): Angelo Rannazzisi
Respondent Lawyers(s): Angelo Rannazzisi
Arbitrator(s): Steven Ira Weinberger
Hearing Site: Boca Raton, FL
| | |
| 11-04183 | 12/10/2013 | Claimant(s): Marques Douglas, Sparkle Douglas
Claimant Lawyers(s): Bruce E. Baldinger
Respondent(s): Charlene Monts, Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Financial Planning Group, Merrill Lynch Life Agency
Respondent Lawyers(s): Charlene Denise Monts, Regina P. Martorana
Arbitrator(s): Alan L. Berger, Celeste A. Beron, Michael J. Pasquale
Hearing Site: Charlotte, NC
| | Expungement |
