| 22-00707 | 03/09/2023 | Claimant(s): Laura Chao
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Edith N. Dinneen
Hearing Site: Los Angeles, CA
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| 22-02175 | 03/09/2023 | Claimant(s): Andrew Johnsen
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
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| 22-00291 | 12/19/2022 | Claimant(s): Kerry Moy
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
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| 22-00058 | 11/17/2022 | Claimant(s): Bhadresh Shah
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John Murphy, W. Preston Martin
Arbitrator(s): Robert Rosen, Adam Michael Porter, Yvonne YingFan Yiu
Hearing Site: Los Angeles, CA
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| 22-00556 | 11/07/2022 | Claimant(s): Michael Patti
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Raleigh, NC
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| 22-00143 | 09/28/2022 | Claimant(s): Nilos Sakellariou
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Glen Eagle Wealth
Respondent Lawyers(s): Andrew M. DeLucia, W. Preston Martin
Arbitrator(s): Thomas B. Corey
Hearing Site: Baltimore, MD
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| 22-00445 | 09/02/2022 | Claimant(s): Christopher Farrell
Claimant Lawyers(s): Brian Luther
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Harrison Johnson
Hearing Site: New York, NY
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| 22-00063 | 08/16/2022 | Claimant(s): Steven Laporta
Claimant Lawyers(s): Brian Luther
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Lawrence W. Arness
Hearing Site: Chicago, IL
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| 22-00051 | 08/03/2022 | Claimant(s): Steven Laporta
Claimant Lawyers(s): Brian Luther
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Philip J. Glick
Hearing Site: Chicago, IL
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| 21-03052 | 06/30/2022 | Claimant(s): Craig Bottolfson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Erik R. Siering
Hearing Site: Phoenix, AZ
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