| 10-02065 | 01/05/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey Manzella
Respondent(s): Andrew Williams
Respondent Lawyers(s): W. Ashton Randall
Arbitrator(s): R. Phillip Reed, Jill M. Zacha, Jay M. Vogelson
Hearing Site: Dallas, TX
| | |
| 10-01196 | 01/03/2012 | Claimant(s): Dougals Haslinger, Sandra Haslinger Trust
Claimant Lawyers(s): Hugh D. Berkson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrea Greene
Arbitrator(s): Carol M. Stoner, Marianne L. Simpson, Eileen B. Vernon
Hearing Site: Cleveland, OH
|  | Expungement |
| 11-02260 | 12/30/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): William P. Wallenstein
Respondent(s): Ted Shin
Respondent Lawyers(s): Ted Sung-Woo Shin
Arbitrator(s): Robert Rosen
Hearing Site: Los Angeles, CA
| | |
| 11-02549 | 12/30/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Karen P. Gaster
Respondent(s): Ronald Anglin
Respondent Lawyers(s): Ronald Gene Anglin
Arbitrator(s): Steven Gourley
Hearing Site: Los Angeles, CA
| | |
| 11-00341 | 12/22/2011 | Claimant(s): Sean McGrover
Claimant Lawyers(s): Sean Patrick McGrover
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Fleming
Respondent Lawyers(s): Peter R. Rosenzweig
Arbitrator(s): Maurice M. Feller, Stephen A. Saker, Robert M. Bath
Hearing Site: Orlando, FL
| | |
| 09-04306 | 12/20/2011 | Claimant(s): Carl Kipper
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Elaine McChesney
Arbitrator(s): Jacqueline W. Marshall, William M Peters, Jennifer L. Bliss
Hearing Site: Albany, NY
| | |
| 11-04123 | 12/16/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Sean G. Duffy
Respondent(s): Chad Sillman, U.S. Bancorp Investments.
Respondent Lawyers(s): Akke Levin
Arbitrator(s): Thomas D. Tays, Steven K. Lum, Philip H. Marmurowski
Hearing Site: Las Vegas, NV
| | |
| 10-01141 | 12/13/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Jason K. Roberts
Respondent(s): Daniel Hudson
Respondent Lawyers(s): Bruce V Schewe
Arbitrator(s): Frederick H. Bruce, Lynne R. Stern, Kathryn M. Welsh
Hearing Site: New Orleans, LA
| | |
| 10-04068 | 12/13/2011 | Claimant(s): Charmaine Kaltrider
Claimant Lawyers(s): R. Scott Atwater
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Stephen Nosek, Timothy McNamara, McNamara-Nosek Group
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Christopher C. Willett, David E. McNabb, John William Comstock
Hearing Site: Buffalo, NY
| | $728,961 |
| 10-04058 | 12/07/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Craig Isaacson
Respondent Lawyers(s): Craig E. Isaacson
Arbitrator(s): Lester Friedman
Hearing Site: San Francisco, CA
| | |
