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FINRA Awards for Merrill Lynch Professional Clearing Corp

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Displaying 4 out of 4 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0142012/28/2023Claimant(s): Brian Wells
Claimant Lawyers(s): Brian Wells
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Professional Clearing Corp, BOFA Securities.
Respondent Lawyers(s): Ronald Smith
Arbitrator(s): William A. Barrett, Linda J. Baer, Gregory Hunter Mathews
Hearing Site: Manchester, NH
Checkmark Icon$0
20-0392803/24/2023Claimant(s): ODS Capital
Claimant Lawyers(s): Jo Ann Palchak
Respondent(s): Pershing LLC, Celadon Financial Group, Merrill Lynch Professional Clearing Corp
Respondent Lawyers(s): Brian F. Amery, Lawrence Portnoy, Ronald Shindler
Arbitrator(s): George G. Kurschner, Milena Domenica Macias, Martin I Jaffe
Hearing Site: Boca Raton, FL
Checkmark Icon$0
16-0187712/29/2017Claimant(s): Bright Lake Management LLC, Bright Lake LP
Claimant Lawyers(s): Ilan Preis
Respondent(s): Broadcort Capital Corporation, Jack Seibald, Merrill Lynch Pierce Fenner & Smith Inc., Michael Rosen, Robert Moore, Concept Capital Markets, Cowen Prime Services LLC, Merrill Lynch Professional Clearing Corp
Respondent Lawyers(s): Mark D. Knoll, Mark J. Hyland
Arbitrator(s): Anna M. Fanelli, Lynne M. Reid-McQueen, Richard Gee
Hearing Site: New York, NY
Checkmark Icon$0
09-0309407/05/2011Claimant(s): Rosen Capital Institutional LP, Rosen Capital Partners LP
Claimant Lawyers(s): Harold Barza
Respondent(s): Merrill Lynch Professional Clearing Corp
Respondent Lawyers(s): Peter K. Vigeland
Arbitrator(s): Arthur T. Berggren, Katharine Reed Coleman, Holly Banafsheh
Hearing Site: Los Angeles, CA
Checkmark Icon$63,665,200

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