| 10-00314 | 12/12/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Christopher Lane
Respondent Lawyers(s): Laura Noble
Arbitrator(s): Richard H. Potter, Michael J. Ahlstrom, Michael Lloyd Weisel
Hearing Site: Raleigh, NC
| | |
| 11-04204 | 12/12/2012 | Claimant(s): BLT Enterprises.
Claimant Lawyers(s): Richard L. Robbins
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Steven Burroughs
Respondent Lawyers(s): Rodney J. Heggy
Arbitrator(s): Irving M. Shlesinger, George S. Willingham, Ronelle W. Genser
Hearing Site: Atlanta, GA
|  | $60,300 |
| 11-00867 | 12/11/2012 | Claimant(s): Clair Couturier
Claimant Lawyers(s): Bradley B. Jones
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Walter Schlaepfer aka Phil Scot
Respondent Lawyers(s): Nathan T. Alexander
Arbitrator(s): Robert E. Meston, Craig Charles Beles, Ann Sattler
Hearing Site: Seattle, WA
| | $1,714,480 |
| 11-02971 | 12/11/2012 | Claimant(s): David Baratko
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Meredith Sharoky
Arbitrator(s): William E. Smith, Timothy J. Brown, S. Charles Tabak
Hearing Site: Newark, NJ
| | Expungement |
| 11-04729 | 12/10/2012 | Claimant(s): David Holtzman and Susan Holtzman
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrea Morgan Greene
Arbitrator(s): Edith M. Novack
Hearing Site: Newark, NJ
| | Expungement |
| 11-02239 | 12/04/2012 | Claimant(s): Donna Jurena, William Jurena
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Alexander B. Feinberg
Arbitrator(s): James R. McGuone, Arthur P. Barry, Jerome Jack Shure
Hearing Site: Atlanta, GA
| | Expungement |
| 12-01912 | 11/30/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward G. Winsman
Respondent(s): Mark Stull
Respondent Lawyers(s): Mark A. Stull
Arbitrator(s): Stephany Adriene Watson
Hearing Site: Washington, DC
| | |
| 11-01900 | 11/28/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Paul Kapur
Respondent Lawyers(s): Paul K. Kapur
Arbitrator(s): Jack A. Marshall, Kelly M. Lonergan, John J. Kenny
Hearing Site: Boston, MA
| | |
| 11-00618 | 11/28/2012 | Claimant(s): Denise Rotolante
Claimant Lawyers(s): Allan P. Whitehead
Respondent(s): Benjamin Buchanan, Southwest Securities., Mark Grant, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Gary Irwin, Julie Wilson Portera
Arbitrator(s): John P. Cullem, Larry G. Kjosa, Thomas Joseph Atkinson
Hearing Site: Orlando, FL
| | $49,375 |
| 12-01551 | 11/27/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Nathan Carvalho
Respondent Lawyers(s): Nathan A Carvalho
Arbitrator(s): Richard J. Grahn
Hearing Site: Providence, RI
| | |
