| 12-02275 | 12/05/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance, In
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Robert Moore
Respondent Lawyers(s): Robert H. Moore
Arbitrator(s): Nancy Kramer
Hearing Site: New York, NY
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| 10-03818 | 12/02/2013 | Claimant(s): Carey C. Steger, Estate Donald Campbell
Claimant Lawyers(s): Brian N. Smiley
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Chandler R Bridges, Harvey R. Linder, Mollie Wagner Neal
Hearing Site: Atlanta, GA
|  | $0 |
| 12-00084 | 11/22/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Janelle E. Fulton
Respondent(s): Patrick Bray
Respondent Lawyers(s): W. Nelson Kirkland
Arbitrator(s): Thomas R. Carlsen, Kathryn M. Welsh, Terry L. Kors
Hearing Site: Tampa, FL
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| 12-02751 | 11/22/2013 | Claimant(s): Christopher Gaertner, Jacqueline Gaertner
Claimant Lawyers(s): David E. Bamberger
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John P. Bevilacqua
Arbitrator(s): Richard L. Rubin, Paul D. Gutierrez, Ronald Chun
Hearing Site: San Francisco, CA
| | Expungement |
| 12-02874 | 11/21/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Douglas Warstler
Respondent Lawyers(s): Douglas William Warstler
Arbitrator(s): Richard J. Kaplan
Hearing Site: Boca Raton, FL
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| 13-00650 | 11/06/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Alexander J. Nassar
Respondent(s): Brian Kilgallon
Respondent Lawyers(s): Brian Michael Kilgallon
Arbitrator(s): David Paul Clark
Hearing Site: Washington, DC
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| 13-01055 | 11/01/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Alexander J. Nassar
Respondent(s): Daniel Staples
Respondent Lawyers(s): Daniel Warren Staples
Arbitrator(s): James Miles Goodwin
Hearing Site: Milwaukee, WI
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| 13-01377 | 10/31/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ken Massey
Respondent(s): William Taylor
Respondent Lawyers(s): William H. Taylor
Arbitrator(s): Marilyn R. Lewis
Hearing Site: Salt Lake City, UT
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| 11-04509 | 10/31/2013 | Claimant(s): Gale A. Pfund and Margery S. Pfund
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Richard B. Bullock, Kenneth W. Gosliner, Alden Sharp Adkins
Hearing Site: San Francisco, CA
| | Expungement |
| 11-00987 | 10/16/2013 | Claimant(s): Raymond Tate
Claimant Lawyers(s): Kim Michael
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrea G. Lisenbee
Arbitrator(s): Robert S. Mautner, Richard Marc Weinroth, Deborah Miriam Lavinsky
Hearing Site: Phoenix, AZ
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