| 09-00951 | 02/14/2013 | Claimant(s): Associated Humane Societies.
Claimant Lawyers(s): Colleen Flynn Cyphers
Respondent(s): Bruce Barth, Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Trust Co.
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Alan Shaw, Nathan J. Minucci, Mia Scanga
Hearing Site: Newark, NJ
|  | $294,480 |
| 10-04927 | 02/13/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Daniel Kole
Respondent Lawyers(s): Kimberly A. Capadona
Arbitrator(s): James M. Baumann, Jacob Aschkenasy, Leo J. Karwejna
Hearing Site: Newark, NJ
| | |
| 12-02286 | 02/08/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Eric J. Glassman
Respondent(s): Paul Bellenbaum
Respondent Lawyers(s): Paul W. Bellenbaum
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | $0 |
| 12-01158 | 02/06/2013 | Claimant(s): Gerald Kaiser
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Gregory Berger, UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James D. Sallah, Polina M. Dostalik
Arbitrator(s): Richard W. Cutler, Irene C. Warshauer, Herman Taub
Hearing Site: New York, NY
| | $0 |
| 12-00192 | 02/01/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance Inc.
Claimant Lawyers(s): Monica M. Littman
Respondent(s): Allen Chaves
Respondent Lawyers(s): Allen Wayne Chaves
Arbitrator(s): Douglas Randall Blohm
Hearing Site: Minneapolis, MN
| | |
| 11-04735 | 01/31/2013 | Claimant(s): Flora Tisherman, Sanford Tisherman, Flora J. Tisherman IRA, Sanford A. Tisherman IRA
Claimant Lawyers(s): Glenn J. Campbell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch & Co..
Respondent Lawyers(s): Spencer S. Persson
Arbitrator(s): Daniel David Kopman, Janice A. Salter, Stephen Laughlin Eddy
Hearing Site: Los Angeles, CA
| | $300 |
| 11-01669 | 01/28/2013 | Claimant(s): J.P. Morgan Securities, JPMorgan Chase Bank, N.A.
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Sean Gorman, Thomas Lillard
Respondent Lawyers(s): Bradley D. Hergott, Simon J Hill
Arbitrator(s): Roger B. Johnston, Philip J. Glick, Seymour Andrew Newman
Hearing Site: Chicago, IL
| | |
| 11-04627 | 01/23/2013 | Claimant(s): William Bud
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Meredith Sharoky
Arbitrator(s): Edward C. Lawrence, Thomas J. Ray, David F. Barrett
Hearing Site: St. Louis, MO
| | Expungement |
| 12-02838 | 01/17/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): William P. Wallenstein
Respondent(s): David Bearden
Respondent Lawyers(s): David E. Bearden
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
| | |
| 11-00687 | 01/16/2013 | Claimant(s): Kenneth M. Mahoney & Linda Mahoney, TIC
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Marc S. Piven, Myron E. Levenson, Robert H. Loevin
Hearing Site: Boca Raton, FL
| | Expungement |
