| 08-02290 | 09/11/2012 | Claimant(s): Sophin Investments S.A.
Claimant Lawyers(s): Barry R. Fischer
Respondent(s): Ezequiel Nasser, Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Capital Services.
Respondent Lawyers(s): Daniel Goldstein, Dominick F. Evangelista, Kenneth I. Schacter
Arbitrator(s): Kenneth L. Lampert, Brian J. Burstin, Myron Kove
Hearing Site: New York, NY
|  | $3,632,020 |
| 11-02696 | 09/10/2012 | Claimant(s): Harris Fried
Claimant Lawyers(s): Harris S. Fried
Respondent(s): Edward Grimpe, James Chahine, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Karen P. Gaster
Arbitrator(s): Kimberly A. Gilmour, Dennis J. Levin, Theodore Israel Herold
Hearing Site: Boca Raton, FL
| | |
| 11-00939 | 09/06/2012 | Claimant(s): Jay Ash
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors, Merrill Lynch Pierce Fenner & Smith Inc., Ronald Lavo
Respondent Lawyers(s): Spencer Persson
Arbitrator(s): Doris V. Knotter, Sally G. Williams, Deanna Margaret Veitia
Hearing Site: San Diego, CA
| | Expungement |
| 11-02706 | 08/30/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kimberly Rule
Respondent Lawyers(s): Tracey Edward Gajak
Arbitrator(s): Philip I. McConnell
Hearing Site: Dallas, TX
| | |
| 10-05078 | 08/28/2012 | Claimant(s): MorseLife Foundation.
Claimant Lawyers(s): Steven M. Katzman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Bank & Trust Company, FSB
Respondent Lawyers(s): Richard L. Martens
Arbitrator(s): Roy B. Gonas, Jeanne Charles Wood, Sidney Turner
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-04476 | 08/17/2012 | Claimant(s): Debra Korbelik, Robert Korbelik, Brian Joseph Korbelik 2000 Trust, Brian Joseph Korbelik 2007 Trust, Debra A. Korbelik Trust, Jason Kyle Korbelik 2000 Trust, Jason Kyle Korbelik 2007 Trust, Robert B. Korbelik Trust
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): David Barberis, Gregory Richardson, Melissa Corrado Harrison, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce W. Day, Tara A. LaClair
Arbitrator(s): Gene R. Thornton, Donald N. Tolin, David L. Erickson
Hearing Site: Denver, CO
| | $0 |
| 11-02203 | 08/08/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward J. Heffernan
Respondent(s): David Capps
Respondent Lawyers(s): Paul G. Beers
Arbitrator(s): Clarence Jordan Ball, Stuart H. Dunn, Donita M. King
Hearing Site: Richmond, VA
| | |
| 11-03825 | 08/08/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachael Carp
Respondent(s): Brian Sak
Respondent Lawyers(s): William S. Bazianos
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | |
| 11-01908 | 08/02/2012 | Claimant(s): Guadalupe Bernal
Claimant Lawyers(s): William J. Risner
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Casey L. Moore
Arbitrator(s): Robert S. Mautner
Hearing Site: Phoenix, AZ
| | $0 |
| 11-03441 | 08/01/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jameile Cawley
Respondent Lawyers(s): Edward Fergreus
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
| | |
