| 10-04548 | 05/09/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): David H. Smith
Respondent(s): John Arquette
Respondent Lawyers(s): John Robert Arquette
Arbitrator(s): Guenter S. Cohn
Hearing Site: San Diego, CA
| | |
| 10-03486 | 05/06/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Robert Connell
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Edward F. Koren, Joseph J. Dougherty, Aaron David Fray
Hearing Site: Philadelphia, PA
| | |
| 10-01204 | 05/06/2011 | Claimant(s): Alexandra Germano
Claimant Lawyers(s): Louis M. Ciavarra
Respondent(s): Jennifer Germano, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer Germano, John P. Bevilacqua
Arbitrator(s): Howard I. Wilgoren, Francis A. McGrail, Evalyn Lipton Fishbein
Hearing Site: Boston, MA
|  | Expungement |
| 10-01198 | 05/03/2011 | Claimant(s): Steven Wdowka, Steven E. Wdowka, IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Anne N. DePrez
Arbitrator(s): George W. Harding, Gary P. Price, Raymond M. Kirtley
Hearing Site: Indianapolis, IN
| | $2,512,200 |
| 10-02673 | 05/02/2011 | Claimant(s): John J. Daversa
Claimant Lawyers(s): John J. Daversa
Respondent(s): Kenneth Cole, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Melinda L. Peevy
Arbitrator(s): Earle J. Schwarz
Hearing Site: Jackson, MS
| | $0 |
| 10-04926 | 04/27/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Khairi Abdur-Rahman
Respondent Lawyers(s): Khairi Dwayne Abdur-Rahman
Arbitrator(s): Steven R. Rolnick
Hearing Site: Boston, MA
| | |
| 10-04911 | 04/18/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward G. Winsman
Respondent(s): Daniel Crotta
Respondent Lawyers(s): Daniel William Crotta
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
| | |
| 10-00622 | 04/18/2011 | Claimant(s): John McMickle
Claimant Lawyers(s): John H. McMickle
Respondent(s): George Moler, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Marie G. Peterson, Harvey Russell Preston, Doug Campbell
Hearing Site: Boca Raton, FL
| | $0 |
| 09-06111 | 04/15/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Karen P. Gaster
Respondent(s): Carl Choy, Erin Choy, Lynn Kinney, Ronald Wo
Respondent Lawyers(s): Jerry M. Hiatt, Rex Y. Fujichaku, Susan M. Ichinose
Arbitrator(s): Herb Schwartz, Tobin B. Swanson, Richard Bruce Dole
Hearing Site: Honolulu, HI
| | $0 |
| 10-04830 | 04/13/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ken S. Massey
Respondent(s): James Lanier
Respondent Lawyers(s): James Ryan Lanier
Arbitrator(s): Robert H. Putnam
Hearing Site: Jacksonville, FL
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