| 23-00171 | 04/13/2023 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Howard Rowen
Respondent Lawyers(s): Howard Steven Rowen
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
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| 19-03772 | 01/09/2023 | Claimant(s): Joshua Heapes
Claimant Lawyers(s): Jeremy L. Bartell
Respondent(s): Chad Troester, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christopher S. Koller
Arbitrator(s): Nelson P. Lovins, Denise L. Presley, Michael P. Breton
Hearing Site: Boston, MA
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| 21-01984 | 10/14/2022 | Claimant(s): Alice Sundberg
Claimant Lawyers(s): W. D. Masterson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christopher S. Koller
Arbitrator(s): John Kenneth Popham, James Ellis, John Martin Lynch
Hearing Site: Dallas, TX
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| 16-01130 | 08/15/2016 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Michael Bradford
Respondent Lawyers(s): Michael Dean Bradford
Arbitrator(s): Bertrand C. Moser
Hearing Site: Houston, TX
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| 11-02987 | 03/13/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Rene' Espinoza
Respondent Lawyers(s): Peter Roeser
Arbitrator(s): Marc Kalish, James W. Warren, Richard Kent Mahrle
Hearing Site: Phoenix, AZ
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| 10-01435 | 03/09/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Donald Limacher
Respondent Lawyers(s): Randall J. Clement
Arbitrator(s): G. Thomas Fleming, Michael G. Clark, Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
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| 09-05587 | 06/14/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Angel Aquino
Respondent Lawyers(s): Roberto Boneta
Arbitrator(s): Mark C. Perry, Ilisa J. Smukler, Neil J. Berman
Hearing Site: San Juan, PR
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| 09-04453 | 05/19/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Steven Mandala
Respondent Lawyers(s): Steven Michael Mandala
Arbitrator(s): Anne Wickham Boyle, Michelle Jacobowitz Gallagher, Linda J. Baer
Hearing Site: New York, NY
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| 10-03486 | 05/06/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Robert Connell
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Edward F. Koren, Joseph J. Dougherty, Aaron David Fray
Hearing Site: Philadelphia, PA
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| 08-02151 | 08/25/2009 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Samuel Begun
Respondent Lawyers(s): Samuel Begun
Arbitrator(s): Bonnie K. Wachtel, Ralph S. Blascovich, Paul A. Fischer
Hearing Site: Washington, DC
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