| 09-03969 | 10/27/2011 | Claimant(s): Ronald Kief IRA, The Ronald Kief Trust Account, The Rosa Lynn Kief Family Trust
Claimant Lawyers(s): Paul L. Nine
Respondent(s): David Pappas, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Clarence L. Pozza
Arbitrator(s): James L. Karpen, Lee Hornberger, Pamela Mary Lindner
Hearing Site: Detroit, MI
|  | $0 |
| 11-00110 | 10/25/2011 | Claimant(s): Jane Galvan, Jane Galvan Trust
Claimant Lawyers(s): Donald L. Saltzman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Barton Wayne Cox
Arbitrator(s): Madeleine Kleinman, Joyce L. Hurley, Kevin Joseph Pilon
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-01073 | 10/20/2011 | Claimant(s): Charles Cerone
Claimant Lawyers(s): Joel N. Kreizman
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Bank of America, Banc of America Insurance Services
Respondent Lawyers(s): Karen P. Gaster
Arbitrator(s): Louis H. Miron, Sandralin J. Kiss, Barbara Weisman
Hearing Site: Newark, NJ
| | |
| 10-02759 | 10/14/2011 | Claimant(s): Saadeh Corporation
Claimant Lawyers(s): Richard M Osborne
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Richard L. Rubin, Gary H. Kahn, James Edward Forbes
Hearing Site: San Francisco, CA
| | $0 |
| 11-01220 | 10/13/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward G. Winsman
Respondent(s): Aaron MacNear
Respondent Lawyers(s): Aaron Roland MacNear
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
| | |
| 09-05426 | 10/11/2011 | Claimant(s): William McIroy
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Nikolas Komyati
Arbitrator(s): Linda T. Pellegrino, Charles L. Prothero, Gerald Joseph Coughlin
Hearing Site: Newark, NJ
| | Expungement |
| 09-05793 | 10/05/2011 | Claimant(s): Carl Cosio
Claimant Lawyers(s): Randall C. Place
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Rafael Calleja
Respondent Lawyers(s): Alise Johnson, Frederick S. Schrils, Neil S. Baritz
Arbitrator(s): Muriel Desloovere, William R. Turner, David F. Simon
Hearing Site: Tampa, FL
| | $248,874 |
| 10-02200 | 10/05/2011 | Claimant(s): Jeremy Harvey
Claimant Lawyers(s): Steven S. Biss
Respondent(s): Karen McKinley, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): A. Patricia Morales Christiansen
Arbitrator(s): Jonathan S. Alcaro, Jane C. Carney, William Stephen Mailander
Hearing Site: Richmond, VA
| | $0 |
| 10-01725 | 10/04/2011 | Claimant(s): Jim Brogden Revocable Living Trust, Lynn Brogden Revocable Living Trust
Claimant Lawyers(s): Yoona Park
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Randall Stender
Respondent Lawyers(s): Jaime H. Scivley
Arbitrator(s): John F. Harris, William B. Kirby, Robert Sachs Mandelson
Hearing Site: Portland, OR
| | $189,984 |
| 09-03931 | 10/03/2011 | Claimant(s): Lulu Coffey, Robert Coffey, Robert & Lulu Coffey Living Trust dd 11/, Scott P. Keil Trust U/W, FBO Douglas Kei
Claimant Lawyers(s): David Harrison
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth C. Mennemeier
Arbitrator(s): John Alen DeRosa, Madeleine Kleinman, Melvin S. Feldman, Adam Michael Porter, Marc S. Joseph, Christopher L. Mass
Hearing Site: Los Angeles, CA
| | $0 |
