| 22-02466 | 12/11/2023 | Claimant(s): Cordia Swanson
Claimant Lawyers(s): Cordia Swanson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Randy R. Maher, David L. Moran, Hugh James Anderson
Hearing Site: Las Vegas, NV
|  | Dismissed by Rule 12504(a)(6)(B) |
| 20-03717 | 08/19/2022 | Claimant(s): Greg Meyer
Claimant Lawyers(s): Noah Green
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Michael Harrison, Russell T. Doe, Kendall C. Reed
Hearing Site: Los Angeles, CA
| | Expungement |
| 19-03404 | 03/21/2022 | Claimant(s): Frank B Hannah Sr.
Claimant Lawyers(s): Luke Rommel
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Truitt
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Daniel J. Donovan, Richard E. Lauziere, Tina E. Patterson
Hearing Site: Baltimore, MD
| | Expungement |
| 18-03492 | 10/14/2019 | Claimant(s): William Siu
Claimant Lawyers(s): Jon A Titus
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Richard Kent Mahrle, John Joseph Welsh, Jerome Allan Landau
Hearing Site: Phoenix, AZ
| | $330,000 |
| 17-00458 | 06/11/2018 | Claimant(s): Anita Eubank
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Steven Quinly
Respondent Lawyers(s): Robert Gonser, Tara A. LaClair
Arbitrator(s): Joyce L. Hurley, Olivia J. Valentine, Robert Weston Armstrong
Hearing Site: Los Angeles, CA
| | Expungement |
| 17-00166 | 06/07/2018 | Claimant(s): Thomas Yague
Claimant Lawyers(s): Thomas L. Gourde
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Timothy Owen
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Mario H. Metzger, Benjamin F. Breslauer, Robert Dean McKinley
Hearing Site: Los Angeles, CA
| | Expungement |
| 17-02672 | 03/15/2018 | Claimant(s): Beth Murray
Claimant Lawyers(s): William Preston Martin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Robert E. Anderson
Hearing Site: Providence, RI
| | |
| 16-00100 | 09/12/2017 | Claimant(s): E. Clark
Claimant Lawyers(s): Thomas Clark
Respondent(s): John Francis, Maureen Bryan-Furgurson, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Howard R. Melamed, Tara A. LaClair, Thomas B. Snyder
Arbitrator(s): Peter H. Daly, Dean J. Dietrich, Marvin L. Watkins
Hearing Site: San Francisco, CA
| | Settlement |
| 13-02842 | 10/28/2014 | Claimant(s): Alaa Elhamrawy
Claimant Lawyers(s): Alaa Elhamrawy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Chesley Oriel, Zenon Charles Tencza, Evalyn Lipton Fishbein
Hearing Site: Boston, MA
| | $0 |
| 11-04509 | 10/31/2013 | Claimant(s): Gale A. Pfund and Margery S. Pfund
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Richard B. Bullock, Kenneth W. Gosliner, Alden Sharp Adkins
Hearing Site: San Francisco, CA
| | Expungement |
