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FINRA Awards for Merrill Lynch International Finance Inc.

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0335110/28/2014Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance Inc.
Claimant Lawyers(s): Ciana Williams
Respondent(s): Janice Johnston
Respondent Lawyers(s): W. Asa Hutchinson
Arbitrator(s): J. Maxwell Williams
Hearing Site: Little Rock, AR
12-0019202/01/2013Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance Inc.
Claimant Lawyers(s): Monica M. Littman
Respondent(s): Allen Chaves
Respondent Lawyers(s): Allen Wayne Chaves
Arbitrator(s): Douglas Randall Blohm
Hearing Site: Minneapolis, MN
10-0144804/01/2011Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance Inc.
Claimant Lawyers(s): Jason E. Murtagh
Respondent(s): David Lynn
Respondent Lawyers(s): Jeffrey K. Riffer
Arbitrator(s): William L. Merkin, Jo-Ann C. Little, Katherine Jane Morris
Hearing Site: San Diego, CA

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