| 18-04171 | 08/09/2023 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward J. Heffernan
Respondent(s): Michael Gloster
Respondent Lawyers(s): Mark L. Kowalsky
Arbitrator(s): Felicia Gail Harris, Gail K. Barski-McCracken, William Napoleone
Hearing Site: Detroit, MI
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| 20-04128 | 07/07/2021 | Claimant(s): Jeffrey Elman
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Edward J. Heffernan
Arbitrator(s): Michael L. Fortney
Hearing Site: Cleveland, OH
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| 14-01946 | 04/30/2018 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Edward J. Heffernan
Respondent(s): Miguel Ballestas
Respondent Lawyers(s): Jarrod J. Malone
Arbitrator(s): Joel H. Holzer, Lawrence S. Silver, Herbert Branitsky
Hearing Site: Ft. Lauderdale, FL
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| 15-00622 | 12/02/2016 | Claimant(s): Michael Phillip
Claimant Lawyers(s): Robert J. Girard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Respondent Lawyers(s): Edward J. Heffernan
Arbitrator(s): A. Joel Klein, Steven A. Wawra, Rosa Linda Guadarrama
Hearing Site: Los Angeles, CA
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| 12-01989 | 07/16/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward J. Heffernan
Respondent(s): Thomas Dexter
Respondent Lawyers(s): Thomas Dexter
Arbitrator(s): Evan L. Gordon, Patricia A. DeWitt, Suzanne Beth Levy
Hearing Site: New York, NY
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| 11-03843 | 02/11/2014 | Claimant(s): Alejandro Quilez Bonelli
Claimant Lawyers(s): Carlos R. Iguina-Oharriz
Respondent(s): Andres Lewowicz, Hector Gonzalez, Hector Rosario, Jose Casellas, Juan Herrans, Merrill Lynch Pierce Fenner & Smith Inc., Ricardo Vazquez, Richard Reiss
Respondent Lawyers(s): Edward J. Heffernan
Arbitrator(s): Steven N. Ainbinder, Daniel P. Lund, Robert J. Bender
Hearing Site: San Juan, PR
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| 11-02203 | 08/08/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward J. Heffernan
Respondent(s): David Capps
Respondent Lawyers(s): Paul G. Beers
Arbitrator(s): Clarence Jordan Ball, Stuart H. Dunn, Donita M. King
Hearing Site: Richmond, VA
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| 10-03465 | 06/15/2011 | Claimant(s): Edward Schiavi
Claimant Lawyers(s): Christopher M. Moody
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Edward J. Heffernan
Arbitrator(s): Richard Djokic
Hearing Site: Albuquerque, NM
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