| 22-02371 | 02/24/2023 | Claimant(s): Lewis Steward
Claimant Lawyers(s): Lewis Steward
Respondent(s): Richard Sanders
Respondent Lawyers(s): Eric A. Herzog
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
|  | $300 |
| 15-01322 | 02/09/2018 | Claimant(s): Winnie Fang
Claimant Lawyers(s): William W. Palmer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric A. Herzog
Arbitrator(s): Laurel Littman Gothelf, Barbara M. Anscher, Gary S. DeWeese
Hearing Site: San Francisco, CA
| | $0 |
| 15-02707 | 12/22/2017 | Claimant(s): Bonnie Bolle, Robin Richardson, Estate of Byron Bolle
Claimant Lawyers(s): Melinda Jane Steuer
Respondent(s): Carlos Miranda, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric A. Herzog
Arbitrator(s): Ralph A. Cotton, Philip Ho, Robert M. Smith
Hearing Site: San Francisco, CA
| | $685,580 |
| 14-02368 | 10/05/2017 | Claimant(s): Myron Allen, Myron Allen IRA
Claimant Lawyers(s): Thomas Gruenbeck
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric A. Herzog
Arbitrator(s): Richard M. Norman, Gregory Douglas Stone, Holly Banafsheh
Hearing Site: Los Angeles, CA
| | $0 |
| 14-03213 | 12/30/2015 | Claimant(s): Kenneth Hunt, Sharon Poulton, Kenneth Hunt Revocable Trust U/A dtd 11/, Sharon Poulton Revocable Trust
Claimant Lawyers(s): Jonathan Evans
Respondent(s): Jeffrey Fratarcangeli, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Brandon Reif, Eric A. Herzog
Arbitrator(s): Chester L. Firestein, Richard M. Norman, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-01387 | 08/19/2014 | Claimant(s): Daniel Cohen, Daniel L. Cohen 1980 Irrevocable Trust
Claimant Lawyers(s): James L. Parks, Thomas J. Meagher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Eric A. Herzog, Michael G. Shannon, Trae D. Meyr
Arbitrator(s): Kenneth E. Owen, W. Alex King, Peggy Jane Fisher
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12504 |
| 12-00027 | 03/08/2013 | Claimant(s): Bette Kelly, Bette J. Kelly Trust
Claimant Lawyers(s): Steven B. Lehat
Respondent(s): Lance Marcus, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric A. Herzog
Arbitrator(s): Barbara M. Zak, Chester L. Firestein, Robin Carr
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-00384 | 11/20/2012 | Claimant(s): Justin Paperny
Claimant Lawyers(s): Brian D Boydston
Respondent(s): Christine Kreps, Damon Johnson, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David Maurer, Eric A. Herzog
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-00432 | 01/31/2012 | Claimant(s): Bobby Hayes, Bobby L. Hayes Living Trust
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric A. Herzog
Arbitrator(s): Richard B. Bullock, Martin J. Kotowski, James F. Zotter
Hearing Site: Reno, NV
| | $1,377,000 |
