| 17-02261 | 04/17/2018 | Claimant(s): Elizabeth Angelone
Claimant Lawyers(s): Owen Harnett
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Stephen A. Weiner
Hearing Site: New York, NY
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| 17-02009 | 03/21/2018 | Claimant(s): Christopher Cervantes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Dallas, TX
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| 17-00090 | 10/23/2017 | Claimant(s): Thomas Gray
Claimant Lawyers(s): John A. Hubbard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Robert J. Scafuri
Hearing Site: Detroit, MI
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| 16-02985 | 08/07/2017 | Claimant(s): Kevin Kugley
Claimant Lawyers(s): Adam Charles Nicolai
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Timothy L. Andrews, Jeffrey R. Jury, Brian James Tagtmeier
Hearing Site: Houston, TX
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| 14-02820 | 07/18/2017 | Claimant(s): Landon Marino, Shawn Walker, Travis Knapp, William Coffey
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Maurice J. Fallas, Allan R. Lazor, Shannon Lyn Mays
Hearing Site: Houston, TX
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| 16-03135 | 06/01/2017 | Claimant(s): Thomas Alessi
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets., Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Quick & Reilly.
Respondent Lawyers(s): David I. Hantman, Kathryn D. Perreault
Arbitrator(s): James R. Collins
Hearing Site: Boston, MA
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| 16-03061 | 04/17/2017 | Claimant(s): Rolf Maile
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Las Vegas, NV
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| 16-01625 | 12/12/2016 | Claimant(s): Scott Blair
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
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| 14-02603 | 11/04/2016 | Claimant(s): Harry Hadden
Claimant Lawyers(s): Steven M McCauley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Gerald Cohen, Randall S. Strause, James Douglas Wilbanks
Hearing Site: Louisville, KY
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| 14-02839 | 08/05/2016 | Claimant(s): Michael Taylor
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Maryanne M. Esser, Montie G. Grimes, Thomas D. Cordell
Hearing Site: Houston, TX
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