| 10-01654 | 04/11/2011 | Claimant(s): James Mosher
Claimant Lawyers(s): James M. Mosher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathleen M. McDowell
Arbitrator(s): David J. Anderson, Kenneth E. Owen, Randall N. Kirk
Hearing Site: Los Angeles, CA
| | |
| 10-01448 | 04/01/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance Inc.
Claimant Lawyers(s): Jason E. Murtagh
Respondent(s): David Lynn
Respondent Lawyers(s): Jeffrey K. Riffer
Arbitrator(s): William L. Merkin, Jo-Ann C. Little, Katherine Jane Morris
Hearing Site: San Diego, CA
| | |
| 09-07161 | 03/31/2011 | Claimant(s): Mary Brandin, Mary Elliott Brandin Trust
Claimant Lawyers(s): John A. Klobasa
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Marilyn T. Selby, Robert J. Bohle, David B. Lacks
Hearing Site: St. Louis, MO
|  | $470,500 |
| 09-05603 | 03/29/2011 | Claimant(s): Judy Calufetti
Claimant Lawyers(s): Russell L. Forkey
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Susan Gottlieb
Respondent Lawyers(s): Melinda Lucas Peevy
Arbitrator(s): Frances D. Sheehy
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 09-04750 | 03/28/2011 | Claimant(s): Francis Fry, Judith Fry
Claimant Lawyers(s): Anthony B Andrezeski
Respondent(s): Advest., George Dusckas, Merrill Lynch Pierce Fenner & Smith Inc., Banc Of America Securities Llc
Respondent Lawyers(s): Joseph P. Pohl
Arbitrator(s): Edward A. Grupp, William R. Gruver, Michael D. McDowell
Hearing Site: Pittsburgh, PA
| | $0 |
| 08-03781 | 03/25/2011 | Claimant(s): Vincent Dang
Claimant Lawyers(s): Adam D. Mitzner
Respondent(s): Arnoldo Santiago, Cynthia Shen, Marla Moskowitz-Hesse, Merrill Lynch Pierce Fenner & Smith Inc., Michael Chiou, Patricia Williams, Riley Etheridge
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): Dean J. Dietrich, Terri Coster Boesch, Susan J. Alexander
Hearing Site: San Francisco, CA
| | |
| 08-04953 | 03/24/2011 | Claimant(s): Ahmass Fakahany
Claimant Lawyers(s): Eric Seiler
Respondent(s): Ann Reese, Armando Codina, John Finnegan, John Thain, Joseph Prueher, Merrill Lynch Pierce Fenner & Smith Inc., Banc Of America Securities LLC, Bank of America Corporation, MER Merger Corporation, Merrill Lynch & Co..
Respondent Lawyers(s): Scott Musoff
Arbitrator(s): Alfred H. Kingon, Martin A. Edelstein, Thomas M. Amadio
Hearing Site: New York, NY
| | |
| 09-00830 | 03/10/2011 | Claimant(s): Dolores A. Smith Insurance & Associates
Claimant Lawyers(s): Brent A. Lorentz
Respondent(s): Kenneth Marchiol, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): J. Jackson, Jeffrey B. Kelvin
Arbitrator(s): Douglas J. Nesbit, Arlen G. Restad, Susan M. Barnes
Hearing Site: Minneapolis, MN
| | $0 |
| 09-04880 | 03/09/2011 | Claimant(s): Craig & Kathleen Juntunen Living Trust
Claimant Lawyers(s): Alan Gilmore
Respondent(s): Jeffry Korte, Merrill Lynch Pierce Fenner & Smith Inc., Richard Wilson
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Joe S. Tarrer, Cynthia B. Stone, Amy L. Wachs
Hearing Site: Phoenix, AZ
| | Expungement |
| 09-04732 | 03/08/2011 | Claimant(s): Damon Reel
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Phyllis Karasov, Julie A. Hennen, Frederick Ramos
Hearing Site: Rapid City, SD
| | Expungement |
