| 09-06999 | 09/26/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Marc Perkins
Respondent Lawyers(s): Marc Perkins
Arbitrator(s): Donald B. Vaden
Hearing Site: Charlotte, NC
| | |
| 10-04648 | 09/22/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Sean G. Duffy
Respondent(s): David Peters
Respondent Lawyers(s): Karl E. May
Arbitrator(s): Thomas R. Skulina
Hearing Site: Cleveland, OH
| | |
| 09-06910 | 09/22/2011 | Claimant(s): Santanna Natural Gas Corporation
Claimant Lawyers(s): Benjamin H. Hathaway
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Scott Branson
Respondent Lawyers(s): Michael A. Rodriguez
Arbitrator(s): David G. Beerbower, William Edward Buck, Selenne Calhamer
Hearing Site: Houston, TX
|  | Expungement |
| 10-04129 | 09/20/2011 | Claimant(s): Nua Shala, ARI International., ORA Business Services.
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Robert Silva
Respondent Lawyers(s): Matthew C. Applebaum, Robert Scott Silva
Arbitrator(s): Vicki Z. Holleman, Judith Fields Jurney, Lincoln W. Craighead
Hearing Site: New York, NY
| | $0 |
| 09-05271 | 09/19/2011 | Claimant(s): Gerald Prud-homme & Barbara Prud'homme
Claimant Lawyers(s): Fred S. Clark
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Donald F. Winningham
Arbitrator(s): James C. Hoover
Hearing Site: Columbia, SC
| | $0 |
| 10-04207 | 09/16/2011 | Claimant(s): Harry Canavesi
Claimant Lawyers(s): Foster S. Goldman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason E. Murtagh
Arbitrator(s): Jeffrey M. Bain, Douglas M. Branson, Wrally John Dutkiewicz
Hearing Site: Pittsburgh, PA
| | |
| 10-04246 | 09/16/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Larry Lipka
Respondent(s): Richard Turnley
Respondent Lawyers(s): Richard Turnley
Arbitrator(s): Mark A. Myers
Hearing Site: Atlanta, GA
| | |
| 10-02529 | 09/16/2011 | Claimant(s): Robert Jones, Vera Jones
Claimant Lawyers(s): David Gaba
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Nancy E. Hochman, Clifford N. Coury, Gregory N. Smith
Hearing Site: Boise, ID
| | $0 |
| 09-05711 | 09/08/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Karen Gaster
Respondent(s): James Milnes
Respondent Lawyers(s): John E. MacDonald
Arbitrator(s): David S. Paul, Gregory Hunter Mathews, Robert Alan Mayer
Hearing Site: Philadelphia, PA
| | |
| 10-01604 | 09/06/2011 | Claimant(s): Connie Hage
Claimant Lawyers(s): Steve Virgil
Respondent(s): Larry James, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrea M. Greene, Kathryn L. Dietrich
Arbitrator(s): Carl F. Bowmer
Hearing Site: Raleigh, NC
| | $0 |
