| 17-00293 | 09/08/2017 | Claimant(s): Michelle Peng
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
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| 16-03135 | 06/01/2017 | Claimant(s): Thomas Alessi
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets., Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Quick & Reilly.
Respondent Lawyers(s): David I. Hantman, Kathryn D. Perreault
Arbitrator(s): James R. Collins
Hearing Site: Boston, MA
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| 09-03573 | 11/18/2014 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Derek Delsimone, Robert Burpee
Respondent Lawyers(s): Jacqueline deSouza
Arbitrator(s): Michelle Judy Brant, Amy Seltzer, E. Duane Stephens
Hearing Site: San Francisco, CA
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| 09-03572 | 09/05/2014 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald Kane
Respondent(s): Arthur Mitsutome
Respondent Lawyers(s): Jacqueline DeSouza
Arbitrator(s): Helen Marinak Blohm, Robin Lynn Berry, Rahul K. Surana
Hearing Site: San Francisco, CA
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| 10-00154 | 05/14/2014 | Claimant(s): Richard Coale, Robert Hannam, Ronald White
Claimant Lawyers(s): Daniel Marino
Respondent(s): Christopher Dumont, Banc of America Investment Services Inc.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Thomas Caiaffa, Julian F. Santos, Kenneth J. Horowitz
Hearing Site: Newark, NJ
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| 12-03686 | 05/24/2013 | Claimant(s): Lisa Fulco
Claimant Lawyers(s): Lisa A Fulco
Respondent(s): Banc of America Investment Services Inc., Metlife Securities Inc.
Respondent Lawyers(s): Bruce M. Steen, Martin Harris
Arbitrator(s): Christopher M. McMurray
Hearing Site: Baltimore, MD
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| 08-03388 | 10/30/2012 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Dermot Durnin
Respondent Lawyers(s): Dermot Durnin
Arbitrator(s): Douglas E. DeTata, Laurel Littman Gothelf, Thomas D. Reese
Hearing Site: San Francisco, CA
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| 09-02937 | 05/04/2012 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): David H. Brodie
Respondent(s): Jonathan Berstein
Respondent Lawyers(s): Carl F. Schoeppl
Arbitrator(s): Carl Shechter, Kevin S. Doty, Dale H. Van Scoyk
Hearing Site: Boca Raton, FL
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| 09-04961 | 02/22/2012 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): William Zurn
Respondent Lawyers(s): Jeffrey L. Malek
Arbitrator(s): Alvin L. Fishman, Amy Seltzer, Carol Ann Jensen
Hearing Site: San Francisco, CA
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| 10-03313 | 02/16/2012 | Claimant(s): Bill Callis
Claimant Lawyers(s): Marie C. Mirch
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Andrew M. DeLucia
Arbitrator(s): Michael E. Rohde, Patricia B. Lehtola, Thomas Richard Delaney
Hearing Site: Dallas, TX
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