| 11-01766 | 05/09/2012 | Claimant(s): Karen O'Neill, Timothy O'Neill
Claimant Lawyers(s): Leonard J. Meyer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Thomas M. Gregor
Arbitrator(s): Jerry C. Prestridge
Hearing Site: Houston, TX
|  | $96,825 |
| 10-01899 | 05/04/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Olga Y. Wayne
Respondent(s): Walter Vazquez
Respondent Lawyers(s): Walter Vazquez
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
| | |
| 10-04930 | 05/02/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Anthony Robbins
Respondent Lawyers(s): Anthony D. Robbins
Arbitrator(s): Lester Neal Ellis
Hearing Site: Charlotte, NC
| | |
| 11-03870 | 05/01/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ciana Williams
Respondent(s): Bruce Katz
Respondent Lawyers(s): Bruce Benjamin Katz
Arbitrator(s): Irwin Kahn
Hearing Site: New York, NY
| | |
| 11-00681 | 04/26/2012 | Claimant(s): Beth Turkel
Claimant Lawyers(s): Richard De Vita
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David G. Buffa
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | Expungement |
| 09-03972 | 04/20/2012 | Claimant(s): Peter Graham Lee & Jennifer Patricia Lee
Claimant Lawyers(s): Steven D Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Berthold T. Berkwich, Harold S. Stern, Stuart Harvey Ziegler
Hearing Site: Boca Raton, FL
| | $0 |
| 11-00145 | 04/16/2012 | Claimant(s): Nicole Cannava
Claimant Lawyers(s): Tyson R. Ence
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Allison Huppe
Arbitrator(s): Sandor I. Rabkin
Hearing Site: Boston, MA
| | |
| 10-01727 | 04/04/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Julianne L. Peck
Respondent(s): Kim Nordmo
Respondent Lawyers(s): Mark J. Astarita
Arbitrator(s): Ferdinand Schoch, Arocles Aguilar, Peter Anthony Sigal
Hearing Site: San Francisco, CA
| | |
| 10-04432 | 04/03/2012 | Claimant(s): Meri Ramazio, Tamara Smolchek
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Douglas K. Spaulding
Arbitrator(s): Harriet A. Kottick, Bonnie A. Pearce, Fred Abramoff
Hearing Site: Boca Raton, FL
| | |
| 10-04687 | 03/29/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Group., Merrill Lynch International Finance
Claimant Lawyers(s): Kate S. Arduini
Respondent(s): Thomas Zur
Respondent Lawyers(s): Brian D. Buckstein
Arbitrator(s): Kathryn M. Welsh, James Conrad Sankpill, Renaldy Jose Gutierrez
Hearing Site: Miami, FL
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