| 20-03194 | 04/29/2021 | Claimant(s): Charles Miller
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Wells Fargo Clearing Services, Banc of America Investment Services Inc., Citicorp Investment Services
Respondent Lawyers(s): Adam Kauff, Demian J. Betz, Kathryn D. Perreault
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: Boca Raton, FL
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| 20-02712 | 03/31/2021 | Claimant(s): Jimmy Barker
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Nashville, TN
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| 20-01465 | 01/28/2021 | Claimant(s): Brian Addington
Claimant Lawyers(s): Brian Luther
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): John J. Flynn
Hearing Site: San Francisco, CA
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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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| 20-00757 | 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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| 20-00996 | 09/17/2020 | Claimant(s): Joshua Garrett
Claimant Lawyers(s): Harris Freedman
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
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| 19-03184 | 05/01/2020 | Claimant(s): David Winchell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Mary M. O'Neil
Hearing Site: Las Vegas, NV
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| 19-01848 | 02/14/2020 | Claimant(s): Demian Fitzgerald
Claimant Lawyers(s): Harris Freedman
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
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| 19-01853 | 01/28/2020 | Claimant(s): Gary Ribe
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Sara K. Yates
Arbitrator(s): Joan M. Traub
Hearing Site: Newark, NJ
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| 19-01534 | 12/13/2019 | Claimant(s): Jason Trichler
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Kenneth James Pedersen
Hearing Site: Seattle, WA
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