| 11-01387 | 04/02/2013 | Claimant(s): Robert Scanlon and Donna Scanlon
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Stuart Rothenstein, William C. Soo-Hoo, John J. Vesey
Hearing Site: New York, NY
|  | Expungement |
| 12-00108 | 04/01/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Olga Y. Wayne
Respondent(s): William Braude
Respondent Lawyers(s): William Lincoln Braude
Arbitrator(s): Jack A. Helms
Hearing Site: Jacksonville, FL
| | |
| 12-00976 | 03/28/2013 | Claimant(s): Charles Tilghman
Claimant Lawyers(s): Charles S. Tilghman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-02175 | 03/18/2013 | Claimant(s): Gary Rucker
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Portera
Arbitrator(s): Valerie J. Hamm, Darryl C. Wilson, Jack A. Helms
Hearing Site: Tampa, FL
| | Expungement |
| 11-03163 | 03/15/2013 | Claimant(s): Alan Hartman
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Banc of America Securities LLC, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Daniel Altchek
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | |
| 10-02660 | 03/14/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ken Massey
Respondent(s): Nathan Lorbietzki
Respondent Lawyers(s): M. Lani Esteban-Trinidad
Arbitrator(s): Michael R. Mitchell, M. Nelson Segel, George Frederick Garris
Hearing Site: Las Vegas, NV
| | |
| 11-03579 | 03/08/2013 | Claimant(s): Barbara LaVerde, Ronald LaVerde, Barbara A. LaVerda Rev. Trust, Ronald J. Laverde Rev. Trust
Claimant Lawyers(s): Scott Konopka
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Thomas Barnwell
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Marc T. Danon, Sydney E. Blum, Jeanne Charles Wood
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-00027 | 03/08/2013 | Claimant(s): Bette Kelly, Bette J. Kelly Trust
Claimant Lawyers(s): Steven B. Lehat
Respondent(s): Lance Marcus, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric A. Herzog
Arbitrator(s): Barbara M. Zak, Chester L. Firestein, Robin Carr
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-04157 | 02/26/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Kenneth C. Mennemeier
Respondent(s): Anil Shah, Preeti Shah
Respondent Lawyers(s): Hari S. Lal
Arbitrator(s): Michael R. Mitchell
Hearing Site: Los Angeles, CA
| | Stipulated Award |
| 11-04254 | 02/26/2013 | Claimant(s): John Keating
Claimant Lawyers(s): John Patrick Keating
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrew M. DeLucia
Arbitrator(s): Mary C. Kelleher, Brian J. Dunn, Michael L. Letendre
Hearing Site: Boston, MA
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