| 18-03962 | 12/24/2019 | Claimant(s): The Ilgvars J. Zallaps Family Trust
Claimant Lawyers(s): Steve A. Miller
Respondent(s): Garner Mabry, Wells Fargo Advisors Financial Network, Merrill Lynch Pierce Fenner & Smith Inc., Todd Schwartz, Schwartz Mabry Private Wealth Advisory
Respondent Lawyers(s): Bruce W. Day, Julie E. Ravis, William D. Nelson
Arbitrator(s): Jo-Marie Lisa, Baldwin Ranson, Tina Alison Davis
Hearing Site: Denver, CO
|  | Dismissed by Rule 12206/12504 |
| 18-02004 | 03/20/2019 | Claimant(s): Robbie Slaughter
Claimant Lawyers(s): Frank Hill
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Tahesin Somji
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Mark L. Williams, Robert J. Gregory, Don G Miller
Hearing Site: Dallas, TX
| | Expungement |
| 16-00810 | 07/11/2017 | Claimant(s): William Mixson
Claimant Lawyers(s): William Mixson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michelle Wilder
Respondent Lawyers(s): Beecher A. Larson, Bruce W. Day
Arbitrator(s): Mark R. Topper
Hearing Site: Orlando, FL
| | $0 |
| 10-04476 | 08/17/2012 | Claimant(s): Debra Korbelik, Robert Korbelik, Brian Joseph Korbelik 2000 Trust, Brian Joseph Korbelik 2007 Trust, Debra A. Korbelik Trust, Jason Kyle Korbelik 2000 Trust, Jason Kyle Korbelik 2007 Trust, Robert B. Korbelik Trust
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): David Barberis, Gregory Richardson, Melissa Corrado Harrison, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce W. Day, Tara A. LaClair
Arbitrator(s): Gene R. Thornton, Donald N. Tolin, David L. Erickson
Hearing Site: Denver, CO
| | $0 |
| 09-04732 | 03/08/2011 | Claimant(s): Damon Reel
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Phyllis Karasov, Julie A. Hennen, Frederick Ramos
Hearing Site: Rapid City, SD
| | Expungement |
| 09-01606 | 03/09/2010 | Claimant(s): Robert Jones
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Patrick Ford
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Charles D. Underwood, Robin R. Mathews, Matthew Harold Fields
Hearing Site: Columbus, OH
| | $568,798 |
| 06-04728 | 01/27/2010 | Claimant(s): Travelers Casualty and Surety Company, Wilbanks Securities.
Claimant Lawyers(s): Andrew J. Waldron, Bruce W. Day
Respondent(s): AXA Advisors
Respondent Lawyers(s): Thomas R. Cox
Arbitrator(s): David G. Ritchie, Robert Steven Haught, Richard L. Andeel
Hearing Site: Oklahoma City, OK
| | |
| 08-00381 | 04/17/2009 | Claimant(s): Pana Merchant
Claimant Lawyers(s): Matthew Clement
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Michael L. Lyons, R. Phillip Reed, Michael William Petty
Hearing Site: St. Louis, MO
| | $0 |
| 08-01696 | 03/16/2009 | Claimant(s): Cynthia Loughman, Philip Loughman
Claimant Lawyers(s): Cynthia L. Loughman, Philip G. Loughman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Donald W. Diones, Charles G. Michaels, Federico C. Alvarez
Hearing Site: Denver, CO
| | $0 |
| 05-06247 | 11/26/2007 | Claimant(s): RBC Dain Rauscher.
Claimant Lawyers(s): Nancy L. Hendrickson
Respondent(s): Dale Johnson, James Tallant, John Pennington, Keith Shahan, Morgan Stanley DW Inc., Samuel Sloane, Susan Stroud
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Simeon R. Trotter, Malcolm W. Clarrissimeaux, Ted Martin Akin
Hearing Site: Dallas, TX
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