| 21-00584 | 07/08/2022 | Claimant(s): Joann Rosellini, Estate of Alexander V. Rosellini
Claimant Lawyers(s): Thomas Costello
Respondent(s): National Securities Corporation, John Moy
Respondent Lawyers(s): Fred N. Knopf, Jennifer R. Willey
Arbitrator(s): Lawrence E. Dube, Josephia Rouse, Elizabeth Varner
Hearing Site: Baltimore, MD
|  | Expungement |
| 20-03763 | 03/31/2021 | Claimant(s): Derek Hasselhoff
Claimant Lawyers(s): Derek C. Hasselhoff
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey
Arbitrator(s): Thomas J. Dolina
Hearing Site: Baltimore, MD
| | $213 |
| 18-02459 | 01/27/2020 | Claimant(s): Charles Austin, Stanley Baumblatt
Claimant Lawyers(s): Daniel Osborn
Respondent(s): Christopher Sadaka, John Lahoud, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey
Arbitrator(s):
Hearing Site: New York, NY
| | $0 |
| 17-02183 | 07/24/2019 | Claimant(s): Josephine Zanoni, Richard Zanoni, The Zanoni Family Trust
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey, Karl L. Marquardt
Arbitrator(s): Carole L. Green, David John Reilly, Mitchell Regenbogen
Hearing Site: New York, NY
| | Expungement |
| 17-01152 | 10/04/2018 | Claimant(s): Joan Gara
Claimant Lawyers(s): Adam J. Gana
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey, Karl L. Marquardt
Arbitrator(s): Langfred W. White, Victoria G.A. Willingham, Brian Michael Kane
Hearing Site: Jacksonville, FL
| | Expungement |
| 16-00570 | 05/11/2017 | Claimant(s): Paul Brown
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey
Arbitrator(s): Joseph C. Roberts, Clydia Jean Cuykendall, Kenneth James Pedersen
Hearing Site: Seattle, WA
| | Expungement |
| 16-00080 | 03/02/2017 | Claimant(s): Malcom Blankenship
Claimant Lawyers(s): Malcom B. Blankenship
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey
Arbitrator(s): Robert H. Putnam
Hearing Site: Charlotte, NC
| | Expungement |
| 15-02023 | 10/19/2016 | Claimant(s): Mohamed Ahmed, Mohamed Ahmed IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey
Arbitrator(s): Barbara M. Zak, Morris S. Getzels, Robert B. Hansohn
Hearing Site: Las Vegas, NV
| | Expungement |
| 14-02954 | 06/24/2016 | Claimant(s): Nancy Plum, John W. Plum Trust
Claimant Lawyers(s): John W. Plum
Respondent(s): Dean Trindle, Morgan Stanley, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce Lewitas, Jennifer R. Willey
Arbitrator(s): Jack A. Helms, Mitchel Weiss, Robert L. Cowles
Hearing Site: Jacksonville, FL
| | Expungement |
| 14-02234 | 06/10/2016 | Claimant(s): Bernard Feldman L.L.L.P./L.L.P., Barry Rein Living Trust DTD 10/25/2005, Debra Rein Living Trust dtd 10/25/2005
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey
Arbitrator(s): Randy R. Freedman, Howard L. Conklin, Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | Expungement |
