| 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
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| 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
| | |
| 22-01608 | 03/30/2023 | Claimant(s): Michael Cifelli
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
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| 22-01746 | 03/27/2023 | Claimant(s): Patrick Cummings
Claimant Lawyers(s): Brian Neville
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pitzzotola
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Portland, OR
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| 21-00880 | 03/20/2023 | Claimant(s): Calvin Cross, Chareka Cross
Claimant Lawyers(s): Paul J. Pontrelli
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Sonia Balfour-Fears
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Michael J. Ahlstrom, Gwendolyn C. Walker
Hearing Site: Atlanta, GA
| | Expungement |
| 22-00707 | 03/09/2023 | Claimant(s): Laura Chao
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Edith N. Dinneen
Hearing Site: Los Angeles, CA
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| 22-02175 | 03/09/2023 | Claimant(s): Andrew Johnsen
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | |
| 20-04212 | 02/28/2023 | Claimant(s): Drew Shaw, Linda Shaw, Estate of Edna Shaw
Claimant Lawyers(s): Linda Shaw
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): George Forest Bingham, Mary S. Wyatte, Larry Cheskawich
Hearing Site: Philadelphia, PA
| | Expungement |
| 22-01476 | 02/17/2023 | Claimant(s): Matthew Rose
Claimant Lawyers(s): Kyle Johnson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Brendan T. Killeen
Arbitrator(s): Robert H. Putnam
Hearing Site: Nashville, TN
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