| 11-01714 | 06/13/2013 | Claimant(s): Ralph Sergott
Claimant Lawyers(s): Jahan Manasseh
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Ronald W. Devoe, Thomas Joseph Atkinson, Stephen A. Saker
Hearing Site: Orlando, FL
|  | Expungement |
| 11-03288 | 06/13/2013 | Claimant(s): Robert E. Faust & Beverley Faust
Claimant Lawyers(s): Neil W. Yahn
Respondent(s): Christopher Sabatino, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Frederic G. Antoun, Regina P. Martorana
Arbitrator(s): Sandra Lee Dolan, Joan M. Smith, Stephan Paul Carrier
Hearing Site: Baltimore, MD
| | Expungement |
| 12-02362 | 06/13/2013 | Claimant(s): Gregory Kiernan
Claimant Lawyers(s): Gregory Kiernan
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina P. Martorana
Arbitrator(s): David L. Binhak, Keely D. Parr, Robert Bartels
Hearing Site: New York, NY
| | $67,254 |
| 11-03303 | 06/11/2013 | Claimant(s): Michael Cappetto
Claimant Lawyers(s): Gregory S. Schaer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Dimarsico, Scott Blackburn, Sheila Mccullough
Respondent Lawyers(s): Karen P. Gaster
Arbitrator(s): Louis H. Miron, Walter C. Parrish, Daniel A. Pinkus
Hearing Site: Newark, NJ
| | |
| 12-03498 | 06/07/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Mark Wood
Respondent Lawyers(s): Mark Stephen Wood
Arbitrator(s): R. Phillip Reed
Hearing Site: Kansas City, MO
| | |
| 09-05899 | 06/03/2013 | Claimant(s): Paul Gomez
Claimant Lawyers(s): Aimee E. Dominguez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Respondent Lawyers(s): Andrew M. DeLucia, Michael J. Fortunato
Arbitrator(s): Laurent C. Vonderweidt, Joan Clay Manley, Frank Centofanti
Hearing Site: Los Angeles, CA
| | |
| 12-00011 | 06/03/2013 | Claimant(s): Stephen Morgan
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Nicholas Taunton
Arbitrator(s): Michael R.E. Sanders, Joan M. Schroeder, Stephen E. DeForest
Hearing Site: Seattle, WA
| | Expungement |
| 12-00383 | 05/31/2013 | Claimant(s): Gerard Murphy and Christina B. Murphy
Claimant Lawyers(s): Shawn C. Maybon
Respondent(s): David Decker, John Meppen, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Seymour A. Kolman, Daniel B. MacLeod, Robert Sachs Mandelson
Hearing Site: Boise, ID
| | Expungement |
| 12-00280 | 05/30/2013 | Claimant(s): Joe Aizpuru Family Trust
Claimant Lawyers(s): Scott C. Ilgenfritz
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Portera
Arbitrator(s): William F. Glaser, John Hughes Verchot, A.J. Seier
Hearing Site: Tampa, FL
| | Expungement |
| 12-00392 | 05/29/2013 | Claimant(s): Snow Chu
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina P. Martorana
Arbitrator(s): Kenneth J. Horowitz, Joseph H. Cerame, Peter A. Kiefer
Hearing Site: Newark, NJ
| | Expungement |
