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FINRA Awards for Merrill Lynch Pierce Fenner & Smith Inc.

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Displaying 791-800 out of 1,227 results
Case Number Award Date Case Summary Customer Case? Amount Granted
11-0284901/15/2013Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Joseph Lamonica
Respondent Lawyers(s): Joseph Anthony Lamonica
Arbitrator(s): Nickolas F. Monteforte
Hearing Site: Boston, MA
12-0140012/28/2012Claimant(s): Steven Jay
Claimant Lawyers(s): Steven A. Jay
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey
Arbitrator(s): A. Joel Klein
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
12-0083912/27/2012Claimant(s): The Reese M. Holifield MBTA
Claimant Lawyers(s): Eric Creizman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Clayton J. Borne, Lynne R. Stern, Robert A. Wojcik
Hearing Site: Jackson, MS
Checkmark Icon$0
11-0350712/21/2012Claimant(s): Joan R. Stiles Trust u/a dtd 2/28/1991, William H. Stiles Trust u/a dtd 2/28/91
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): Richard S. Zaifert, Bruce K. Isenberg, Harold S. Stern
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
11-0402312/21/2012Claimant(s): Peter Zervos
Claimant Lawyers(s): Randall C. Place
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Bruce W. Bennett
Hearing Site: Columbia, SC
Checkmark IconExpungement
12-0239012/21/2012Claimant(s): A.J. Land, Kathy Land
Claimant Lawyers(s): A.J. Land
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Paul Mullen
Respondent Lawyers(s): Jill Del Monico
Arbitrator(s): William J. Hirsch
Hearing Site: Philadelphia, PA
Checkmark Icon$0
12-0079912/19/2012Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Thomas Walton
Respondent Lawyers(s): Thomas Xavier Walton
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
11-0190412/17/2012Claimant(s): Parviz Samii
Claimant Lawyers(s): Jeffrey Sonn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jaime H. Scivley
Arbitrator(s): Michael A. Levin, David P. Slater, Paul J. Burkhart
Hearing Site: Ft. Lauderdale, FL
Checkmark IconExpungement
11-0316712/14/2012Claimant(s): Jay Debow, Suzanne Debow, MLPF&S Cust FBO Jay Debow IRA, MLPF&S Cust FBO Suzanne Hayat Debow IRA, MLPF&S Cust FBO J. Debow Consulting P.S
Claimant Lawyers(s): Charles M. O'Rourke
Respondent(s): Mark Imbertson, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Colleen M. Fitzgerald, Donald F. Winningham
Arbitrator(s): Frances D. Sheehy, Mark T. Burnam, Stephen Kahane
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
11-0059112/13/2012Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Gregg W. Marsano
Respondent(s): Whitney Kenter
Respondent Lawyers(s): Darrell J. Graham
Arbitrator(s): Albert J. Haller, R. Phillip Reed, David J. Bokal
Hearing Site: St. Louis, MO

1,227 Results

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