| 20-00057 | 11/11/2020 | Claimant(s): Michael Wiercinski
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): James C. Hoover
Hearing Site: Charlotte, NC
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| 19-03523 | 11/02/2020 | Claimant(s): Joseph Roop
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Legg Mason Wood Walker, Wells Fargo Clearing Services, Kalos Capital., Banc of America Investment Services Inc.
Respondent Lawyers(s): Alan M. Wolper, Demian J. Betz, Gretchen Klebasko, Sarah K. Yates
Arbitrator(s): Richard H. Potter
Hearing Site: Charlotte, NC
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| 20-01008 | 10/16/2020 | Claimant(s): Sean Kilmartin
Claimant Lawyers(s): Alex H. Kilmartin
Respondent(s): Dickinson & Co.
Respondent Lawyers(s): Nancy Van Hauen
Arbitrator(s): Joyce A. Mitchell
Hearing Site: Charlotte, NC
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| 20-00757 | 10/01/2020 | Claimant(s): Stanley Ciotoli
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Harvey R. Linder
Hearing Site: Charlotte, NC
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| 20-00122 | 07/15/2020 | Claimant(s): Christopher Bice
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s):
Hearing Site: Charlotte, NC
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| 19-02593 | 07/07/2020 | Claimant(s): Stephen Thomas
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Joyce A. Mitchell
Hearing Site: Charlotte, NC
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| 19-01937 | 06/22/2020 | Claimant(s): Suzanne Banzet
Claimant Lawyers(s): D. Stuart Punger
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter Wheeler
Arbitrator(s): Mary E. Woytek, Marie Paulette Levine, Stephen Edwin Anderson
Hearing Site: Charlotte, NC
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| 19-02937 | 06/12/2020 | Claimant(s): Gerald Hanifan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): The Investment Center., USA Financial Securities Corporation
Respondent Lawyers(s): Douglas A. Wright, Joel T. Brusk
Arbitrator(s): Richard E. Miley
Hearing Site: Charlotte, NC
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| 19-03699 | 05/28/2020 | Claimant(s): Keith Kepley
Claimant Lawyers(s): Russ Ferguson
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Patricia H. Latham
Hearing Site: Charlotte, NC
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| 19-01650 | 04/23/2020 | Claimant(s): Steven Greer
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Kalos Capital.
Respondent Lawyers(s): M. Michael McComb
Arbitrator(s): Richard James Igou
Hearing Site: Charlotte, NC
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