| 13-01043 | 10/14/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Beth Delaney
Respondent(s): Montague Henry
Respondent Lawyers(s): Montague Stephan Henry
Arbitrator(s): Christine Moore
Hearing Site: New York, NY
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| 13-01597 | 10/10/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Olga Y. Wayne
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
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| 11-02818 | 10/08/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Grant Andreasen
Respondent Lawyers(s): David W. Gutke
Arbitrator(s): David W. Dresnick
Hearing Site: Las Vegas, NV
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| 12-01080 | 10/07/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason Roberts
Respondent(s): Anthony Vaccaro
Respondent Lawyers(s): Anthony F. Vaccaro
Arbitrator(s): Charles A. Joplin, Sherrie R. Abney, Robert E. Treadaway
Hearing Site: Dallas, TX
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| 12-02000 | 10/01/2013 | Claimant(s): LaVerne Coalson, Coalson Insurance Trust U/A 7/9/99
Claimant Lawyers(s): Clinton W. Marrs
Respondent(s): Donny Vogler, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Rodney J. Heggy
Arbitrator(s): Bill M. Lamoreaux, Linda B. Kelly, Frances Johnson Wright
Hearing Site: Dallas, TX
|  | $1,198,440 |
| 13-01049 | 09/27/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ken S. Massey
Respondent(s): Edward Grondahl
Respondent Lawyers(s): Edward Eric Grondahl
Arbitrator(s): Lavon C. Phillips
Hearing Site: Minneapolis, MN
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| 12-01025 | 09/26/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Angela Keaveny
Respondent Lawyers(s): Angela Marie Keaveny
Arbitrator(s): Jeffrey W. Finke
Hearing Site: Chicago, IL
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| 13-00781 | 09/20/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Alexander J. Nassar
Respondent(s): John Lowe
Respondent Lawyers(s): John C. Lowe
Arbitrator(s): Arthur F. Dewsberry
Hearing Site: Kansas City, MO
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| 10-04168 | 09/18/2013 | Claimant(s): Julio Paniagua, Maria Paniagua
Claimant Lawyers(s): Carlos B. Castillo
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Gerald Silverman
Hearing Site: Miami, FL
| | Expungement |
| 13-00977 | 09/13/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachael Carp
Respondent(s): Scott Nicol
Respondent Lawyers(s): Scott Cameron Nicol
Arbitrator(s): Benjamin A. Kerner
Hearing Site: Detroit, MI
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