| 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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| 20-02842 | 05/07/2021 | Claimant(s): David Nethery
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
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| 20-02560 | 04/13/2021 | Claimant(s): E. Marsh
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Jeffrey Axelrad
Hearing Site: Washington, DC
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| 20-02409 | 03/08/2021 | Claimant(s): Dodee Crockett
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Robert J. Gregory
Hearing Site: Dallas, TX
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| 20-01622 | 02/03/2021 | Claimant(s): David Eidell, Derek Christian
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Philip J. Glick
Hearing Site: Chicago, IL
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| 19-02481 | 01/22/2021 | Claimant(s): Salvatore Mansueto
Claimant Lawyers(s): Jeremy L. Bartell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Jeffrey P. Petrucelly, Gene M. Bauer, Tristan Nicholas Ostronic
Hearing Site: Boston, MA
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| 20-01317 | 01/12/2021 | Claimant(s): Lori Sackler
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
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| 19-02885 | 01/07/2021 | Claimant(s): Judith Thumann
Claimant Lawyers(s): John Da Grosa Smith
Respondent(s): Kevin Larson, Kimberley Holweger, Marcelino Alicea, Cetera Advisors LLC., Financial Fidelity Services.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Michael J. Ahlstrom, Alan C. Granath, George Pinckney Shingler
Hearing Site: Atlanta, GA
|  | Expungement |
| 20-00525 | 11/13/2020 | Claimant(s): Norman Lautrup
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Michael Jeffrey Norton
Hearing Site: Denver, CO
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| 20-00435 | 10/28/2020 | Claimant(s): Sylvester Knox
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Newark, NJ
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