| 23-02761 | 05/21/2024 | Claimant(s): Joseph Diorio
Claimant Lawyers(s): Stephan Louviere
Respondent(s): J.J.B. Hilliard, W.L. Lyons, Banc of America Investment Services Inc.
Respondent Lawyers(s): Katelyn H. Wilson, Todd A. Holleman
Arbitrator(s): George Forest Bingham
Hearing Site: Philadelphia, PA
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| 22-00465 | 02/02/2023 | Claimant(s): Jennifer Johnston
Claimant Lawyers(s): Harris Freedman
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Shawn Ridgell
Hearing Site: San Francisco, CA
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| 21-03052 | 06/30/2022 | Claimant(s): Craig Bottolfson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Erik R. Siering
Hearing Site: Phoenix, AZ
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| 20-00861 | 04/08/2022 | Claimant(s): George Lyles
Claimant Lawyers(s): George W. Lyles
Respondent(s): Jacob Mohr, Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Peter Pound, Thomas M. McHugh
Arbitrator(s): Robert Rosen, David L. Moran, Adam Michael Porter
Hearing Site: Las Vegas, NV
|  | Expungement |
| 21-01092 | 03/09/2022 | Claimant(s): Randall Krenzin
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services, Banc of America Investment Services Inc.
Respondent Lawyers(s): Geoffrey S. Beckham, Laura A. Pizzitola
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
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| 21-01338 | 09/28/2021 | Claimant(s): David Bunin
Claimant Lawyers(s): Cynthia R. Moulton
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Peter E. Gillespie
Hearing Site: New York, NY
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| 20-03011 | 07/06/2021 | Claimant(s): Brice Redmond
Claimant Lawyers(s): Erika C. Binnix
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Los Angeles, CA
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| 20-02788 | 06/23/2021 | Claimant(s): Jennifer Johnston
Claimant Lawyers(s): Harris Freedman
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
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| 20-02781 | 05/20/2021 | Claimant(s): Jacob Allen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Tracy L. Allen
Hearing Site: St. Louis, MO
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| 20-03171 | 04/29/2021 | Claimant(s): Anna Jenkins
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): William Michael Samsel
Hearing Site: San Francisco, CA
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