| 10-01340 | 08/01/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance Inc
Claimant Lawyers(s): Jason K. Roberts
Respondent(s): John Bauer
Respondent Lawyers(s): John T. Bauer
Arbitrator(s): Thomas J. Ray
Hearing Site: Dallas, TX
| | |
| 09-05640 | 07/29/2011 | Claimant(s): Douglas M. Rudolph Partners, Ltd.
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Franz C. Thame, Jerrold Levine, Bruce M. Alster
Hearing Site: Miami, FL
|  | Expungement |
| 09-02095 | 07/29/2011 | Claimant(s): Braden Partners, L.P., Elsa Gaze Braden Trust, Grant Braden Education Trust
Claimant Lawyers(s): Gerald B. Kline
Respondent(s): Joshua Krentzman, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Portera
Arbitrator(s): Michael J. Stern, Anne H. Orr, George Harrison Lemmond
Hearing Site: Atlanta, GA
| | $0 |
| 09-06564 | 07/28/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Beth Delaney
Respondent(s): Bryan Oliver
Respondent Lawyers(s): Bryan Oliver
Arbitrator(s): Bert P. Krages
Hearing Site: Boise, ID
| | |
| 09-06623 | 07/26/2011 | Claimant(s): Richard Fahs
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): Janet L. Brown, Jane Venckus Zirlis, Francis J. Pavetti
Hearing Site: Hartford, CT
| | $82,947 |
| 10-03340 | 07/26/2011 | Claimant(s): Ocean Research and Conservation Assoc
Claimant Lawyers(s): Matthew J. Barnes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Howard G. Meyers
Arbitrator(s): Marie G. Peterson
Hearing Site: Boca Raton, FL
| | $0 |
| 09-04362 | 07/25/2011 | Claimant(s): Barbara Agranoff, Joseph Agranoff, Barbara Agranoff IRA, Joseph H. Agranoff IRA
Claimant Lawyers(s): Timothy L. Van Eman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Robert Rosen
Respondent Lawyers(s): Russell S. Sayre
Arbitrator(s): Carol M. Stoner, Robert L. Washburn, Daniel R. LaMacchia
Hearing Site: Columbus, OH
| | $291,620 |
| 10-00400 | 07/22/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Eric Flaim
Respondent Lawyers(s): Eric Joseph Flaim
Arbitrator(s): Ernest Fanwick
Hearing Site: Manchester, NH
| | |
| 09-03670 | 07/22/2011 | Claimant(s): Robert Banks, Vita Banks, Robert R. Banks IRA, Vita Banks IRA
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James P. Delphey
Arbitrator(s): Jo-Ann C. Little, Judith A. Gust, Sally G. Williams
Hearing Site: San Diego, CA
| | Expungement |
| 08-04586 | 07/21/2011 | Claimant(s): Daniel Staton, Staton Family Investments, Ltd.
Claimant Lawyers(s): Martin P. Russo
Respondent(s): Christopher Jacobs, Gerald Schwinn, James Dickson, Margot Dwyer, Merrill Lynch Pierce Fenner & Smith Inc., The Jacobs Team
Respondent Lawyers(s): Richard L. Martens
Arbitrator(s): Frances D. Sheehy, Morton D. Siegel, Allen Robin
Hearing Site: Boca Raton, FL
| | $0 |
