| 09-06762 | 06/23/2011 | Claimant(s): Harriet Baker, John Baker, Natalie Baker
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Nathan T. Alexander
Arbitrator(s): Bernard A. Friedman, Bernard Korman, James Sloan Altschul
Hearing Site: New York, NY
|  | $880,000 |
| 10-01032 | 06/20/2011 | Claimant(s): Clarence Frisbee
Claimant Lawyers(s): Clarence S. Frisbee
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James A. Burns
Arbitrator(s): William B. Kirby
Hearing Site: Helena, MT
| | |
| 10-03465 | 06/15/2011 | Claimant(s): Edward Schiavi
Claimant Lawyers(s): Christopher M. Moody
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Edward J. Heffernan
Arbitrator(s): Richard Djokic
Hearing Site: Albuquerque, NM
| | |
| 09-05587 | 06/14/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Angel Aquino
Respondent Lawyers(s): Roberto Boneta
Arbitrator(s): Mark C. Perry, Ilisa J. Smukler, Neil J. Berman
Hearing Site: San Juan, PR
| | |
| 11-00548 | 06/14/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Olga Y. Wayne
Respondent(s): Jeffrey Gargiulo
Respondent Lawyers(s): Gordon C. Lane
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Ft. Lauderdale, FL
| | |
| 10-01149 | 06/10/2011 | Claimant(s): Ellen Brown
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Neuberger Berman LLC
Respondent Lawyers(s): Mitchell Albert, Tara A. LaClair
Arbitrator(s): Herbert Leslie Greenberg, Vincent J. Natoli, Daniel R. Brush
Hearing Site: Los Angeles, CA
| | $0 |
| 11-00645 | 06/09/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Andrew G Gioia
Respondent(s): John Burke
Respondent Lawyers(s): John E. Burke
Arbitrator(s): Robert Pincus
Hearing Site: New York, NY
| | |
| 09-03429 | 06/08/2011 | Claimant(s): Edgar Hagerty, Joann Hagerty, EWH Investments, JDH Investments, Edgar W. Hagerty Trust, Joann Didik Hagerty Trust
Claimant Lawyers(s): James M. Bausch
Respondent(s): Kathryn Schubert, Merrill Lynch Pierce Fenner & Smith Inc., Ronald Lassek
Respondent Lawyers(s): Bryan Reyhani
Arbitrator(s): M. W. Gear, Richard L. Mitchell, Verne R. Gray
Hearing Site: Omaha, NE
| | $435,000 |
| 10-01951 | 05/27/2011 | Claimant(s): Richard K. Lublin and Jane E. Lublin Rev
Claimant Lawyers(s): Edward R. Scofield
Respondent(s): Geoffrey Karp, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Burton Wayne Cox
Arbitrator(s): Samuel H. Chorches, Harvey Casher, Jack B. Golden
Hearing Site: Hartford, CT
| | Expungement |
| 10-04827 | 05/26/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Kate S. Arduini
Respondent(s): Matthew Burnham
Respondent Lawyers(s): Matthew J Burnham
Arbitrator(s): Daniel G. Zeiser
Hearing Site: Cleveland, OH
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