21-02211 | 06/02/2022 | Claimant(s): Timothy O'Connor Claimant Lawyers(s): Brian Luther Respondent(s): Morgan Stanley DW Inc., Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Suzette J. Barnes, W. Preston Martin Arbitrator(s): Thomas P. Valenti Hearing Site: Chicago, IL
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21-02048 | 04/21/2022 | Claimant(s): Guy Clayton Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX
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21-01919 | 03/24/2022 | Claimant(s): Timothy Hilton Claimant Lawyers(s): Coren H. Stern Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Edmund Timothy Donovan Hearing Site: New York, NY
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20-00862 | 03/10/2022 | Claimant(s): Joan Highsmith, Lutricia Ward, Estate of Thomas Ward Claimant Lawyers(s): Alex S Aughtry Respondent(s): Anthony Mesquit, Eric McSwain, Jennifer Dehart, Fidelity Brokerage Services LLC, Nassim Elias, Fidelity Personal and Workplace Advisors Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Barbara L. Edin, Keith E. Robinson, Arlene Denise Knighten Hearing Site: New Orleans, LA
| | Expungement |
21-01904 | 02/04/2022 | Claimant(s): Robert Funk Claimant Lawyers(s): James P. Galvin Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Abe I. Borenstein, Robert E. Anderson, Alexander B Rubin Hearing Site: New York, NY
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21-01551 | 01/18/2022 | Claimant(s): Dwayne Tidwell Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Stanford Group Company Respondent Lawyers(s): Ralph S. Janvey, Receiver, W. Preston Martin Arbitrator(s): Lynne M. Gomez, Maurice J. Fallas, William James Smith Hearing Site: Houston, TX
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21-00784 | 12/07/2021 | Claimant(s): Archie Morris Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Harvey R. Linder Hearing Site: Atlanta, GA
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20-01836 | 11/02/2021 | Claimant(s): Retina Consultants, P.C., P.C. Pension Plan Claimant Lawyers(s): John B. Long Respondent(s): Raymond Benjamin, South State Bank, Successor GBTL Financial LLC Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Carleton E. Blankenburg, Bruce W. Bennett, Sherri Lynne Kimmell Hearing Site: Atlanta, GA
| | Expungement |
21-00133 | 10/22/2021 | Claimant(s): James Atwood Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): David Wertz Ellis Hearing Site: Boston, MA
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21-00720 | 10/07/2021 | Claimant(s): Tomoe Odahara Claimant Lawyers(s): Jordan D. Becker Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Susan C Lushing, Annamaria Boccia Smith, Mark Peter Haslinger Hearing Site: New York, NY
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