| 18-00720 | 12/13/2018 | Claimant(s): Lance Williams
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Securities Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Judy Louie, Sarah K. Yates
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Seattle, WA
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| 18-00194 | 12/10/2018 | Claimant(s): Garland Homes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Stuart K. Furman
Hearing Site: Raleigh, NC
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| 18-00736 | 12/07/2018 | Claimant(s): John Paffendorf
Claimant Lawyers(s): Thomas C. Frost
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
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| 18-01896 | 12/03/2018 | Claimant(s): William Blake
Claimant Lawyers(s): John R. Snyder
Respondent(s): Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Deirdre Wolff, Sarah K. Yates
Arbitrator(s): Nancy E. Watters
Hearing Site: Washington, DC
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| 18-00916 | 11/07/2018 | Claimant(s): Brian Clark
Claimant Lawyers(s): Louis D. Tambaro
Respondent(s): Morgan Stanley, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jeremy S. Winer, Sarah K. Yates
Arbitrator(s): Paul Allan Massaro
Hearing Site: Newark, NJ
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| 18-01264 | 11/02/2018 | Claimant(s): Donald Bescher
Claimant Lawyers(s): Steven J. Berry
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
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| 18-01857 | 10/31/2018 | Claimant(s): Gordon Glener
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
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| 18-00519 | 10/25/2018 | Claimant(s): Iain Sharpe
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Raymond C. Kerr
Hearing Site: Houston, TX
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| 18-01095 | 10/17/2018 | Claimant(s): John Hudspeth
Claimant Lawyers(s): Todd Gutfleisch
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Joseph H. Cerame
Hearing Site: Newark, NJ
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| 18-00208 | 10/04/2018 | Claimant(s): Jared Smith
Claimant Lawyers(s): Michael Bessette
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Seattle, WA
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