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FINRA Awards for Merrill Lynch Pierce Fenner & Smith Inc.

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Displaying 941-950 out of 1,227 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0198307/15/2011Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Gregg W. Marsano
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): George A. Sellnau
Hearing Site: Dallas, TX
09-0217807/14/2011Claimant(s): Patrick Zilkha
Claimant Lawyers(s): Paul A. Lanni
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Steven Labanca, Ted Candella
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Richard S. Peskin, Raymond Nardo, George E. Berkeley
Hearing Site: New York, NY
Checkmark IconExpungement
11-0010907/12/2011Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Kate S. Arduini
Respondent(s): Kristi Lenderman
Respondent Lawyers(s): Kristi Ann Lenderman
Arbitrator(s): R. Phillip Reed
Hearing Site: Denver, CO
10-0148407/07/2011Claimant(s): O. Robert Marino & Linda Marino
Claimant Lawyers(s): Henry I. Pass
Respondent(s): Klaus Miller, Banc of America Securities LLC, Merrill Lynch Pierce Fenner & Smith Inc., The Hoey Group
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Rafael A. Porrata-Doria, John J. Jordan, Howard B. Scherer
Hearing Site: Philadelphia, PA
Checkmark IconExpungement
09-0675707/06/2011Claimant(s): Stephen Miller and Dawn Miller
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Joel Margolies, Jeffrey R. Roth, Theodore Israel Herold
Hearing Site: Miami, FL
Checkmark IconExpungement
09-0611807/05/2011Claimant(s): Diane LeBoeuf
Claimant Lawyers(s): Fred S. Clark
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Philip Weber
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Gerard S. Marsan
Hearing Site: Providence, RI
Checkmark IconStipulated Award and Expungement
10-0154607/05/2011Claimant(s): Susan Inbar-Grecco, Susan Inbar-Grecco Trust dtd 9/13/1989
Claimant Lawyers(s): Jared R. B. Hutton
Respondent(s): Jose Lamas, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth C. Mennemeier
Arbitrator(s): Michael R. Mitchell, Joyce L. Hurley, Marvin B. Karelitz
Hearing Site: Los Angeles, CA
Checkmark Icon$0
09-0601406/29/2011Claimant(s): Anthony Balzebre, Dorothy Balzebre, Balzebre Alpha LP
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason S. Haselkorn
Arbitrator(s): Bernard A. Becker, John J. Hearn, Richard K. Hrebik
Hearing Site: Miami, FL
Checkmark IconExpungement
09-0329906/29/2011Claimant(s): Joel LeVahn, Jolene LeVahn
Claimant Lawyers(s): Lisa M. Lamm
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Peter Eckerline
Respondent Lawyers(s): Jaime H. Scivley
Arbitrator(s): Roger D. Johnson, Joan L. Volz, Leo G. Stern
Hearing Site: Minneapolis, MN
Checkmark Icon$0
10-0052006/28/2011Claimant(s): Alan Mendelson and Peggy Mendelson
Claimant Lawyers(s): Ian E. Bjorkman
Respondent(s): Geoffrey Gregory, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Todd H. Cox
Arbitrator(s): Francis J. Pavetti, Marissa A. Santangelo, Houston Putnam Lowry
Hearing Site: Hartford, CT
Checkmark IconExpungement

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