| 22-01682 | 06/30/2023 | Claimant(s): Stephen Caton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Maryanne M. Esser
Hearing Site: Houston, TX
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| 22-00379 | 06/30/2023 | Claimant(s): Vukich Family Trust U/A Dated 07/17/2003
Claimant Lawyers(s): Gary Mark Brewer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Hulley, Richard Sanders
Respondent Lawyers(s): Kelly L. Doyle
Arbitrator(s): Barbara M. Zak, Eric Gad Forster, Jack R. Goetz
Hearing Site: Los Angeles, CA
|  | Expungement |
| 22-01156 | 06/26/2023 | Claimant(s): Kevin Ho
Claimant Lawyers(s): Jeffrey A. Feldman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason E. Murtagh
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 22-02296 | 06/15/2023 | Claimant(s): Mark Thorndyke
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | |
| 22-02675 | 05/31/2023 | Claimant(s): Kristina Nichols
Claimant Lawyers(s): James P. Galvin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Brian John Gallagher
Hearing Site: New York, NY
| | |
| 22-01660 | 04/24/2023 | Claimant(s): Matthew Engen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Mark L Miller
Hearing Site: Bismarck, ND
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| 22-00892 | 04/13/2023 | Claimant(s): Joseph Crespi
Claimant Lawyers(s): Michael Bessette
Respondent(s): Advest., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Howard N. Gorney
Hearing Site: Providence, RI
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| 23-00171 | 04/13/2023 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Howard Rowen
Respondent Lawyers(s): Howard Steven Rowen
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | |
| 22-01292 | 04/05/2023 | Claimant(s): Estate of Robert G. Gard III
Claimant Lawyers(s): Randy Scott Erlewine
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline Karama
Arbitrator(s): Joseph Winter, Lisa Suzette Hart, Kathy Bazoian Phelps
Hearing Site: Los Angeles, CA
| | $456,310 |
| 22-02238 | 03/31/2023 | Claimant(s): Joseph Bowden
Claimant Lawyers(s): James P. Galvin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Donna Greenspan Solomon
Hearing Site: Boca Raton, FL
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