| 14-03494 | 05/05/2016 | Claimant(s): Russell Cable
Claimant Lawyers(s): Robert Aronson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): John A. Goc, Michael P. Anciello, Sylvia E. Green
Hearing Site: Boston, MA
|  | Expungement |
| 14-03312 | 04/26/2016 | Claimant(s): Frank Munnerlyn, Margaret Munnerlyn
Claimant Lawyers(s): Ariel S. Rosenzveig
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Sandra Gale Behrle, Robert E. Anderson, Fern Sue Reidman
Hearing Site: New York, NY
| | Expungement |
| 15-00661 | 02/26/2016 | Claimant(s): Robert Flemming and Josephine Flemming
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Patrick R. Westerkamp, Esq.
Hearing Site: Philadelphia, PA
| | Dismissed by Rule 12206 |
| 13-03472 | 10/01/2015 | Claimant(s): George Moore
Claimant Lawyers(s): Steven Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Arnold I. Loew, Victoria G.A. Willingham, Carl Henry Perdue
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-00732 | 08/20/2015 | Claimant(s): Herschell Allen
Claimant Lawyers(s): John Da Grosa Smith
Respondent(s): James Arnett, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): James R. McGuone, Frances L. Wolff, John D. Mattingly
Hearing Site: Atlanta, GA
| | $0 |
| 14-03340 | 07/15/2015 | Claimant(s): Anthony Caggiano
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Lise Gabrielle Hunter, Roger L Gavan, Alan Gradzki
Hearing Site: New York, NY
| | Expungement |
| 14-00231 | 03/24/2015 | Claimant(s): Diana Silvar, Joseph Romano, Kevin Silvar
Claimant Lawyers(s): Kristian P. Kraszeweski
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Marguerite B. Filson
Hearing Site: New York, NY
| | Expungement |
| 12-03948 | 05/05/2014 | Claimant(s): Estate of Matteo Mosca
Claimant Lawyers(s): Chad N. Cagan
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Edith M. Novack, Linda J. Baer, Sherrill Ruth Austin
Hearing Site: Newark, NJ
| | Expungement |
| 12-02509 | 06/20/2013 | Claimant(s): Richard Shepherd
Claimant Lawyers(s): J. A. Kiernander
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Allan E. Johnson
Hearing Site: New York, NY
| | $0 |
| 11-03579 | 03/08/2013 | Claimant(s): Barbara LaVerde, Ronald LaVerde, Barbara A. LaVerda Rev. Trust, Ronald J. Laverde Rev. Trust
Claimant Lawyers(s): Scott Konopka
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Thomas Barnwell
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Marc T. Danon, Sydney E. Blum, Jeanne Charles Wood
Hearing Site: Boca Raton, FL
| | Expungement |
