| 18-00414 | 01/18/2019 | Claimant(s): Michael Halperin
Claimant Lawyers(s): Michael Bessette
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
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| 18-00622 | 01/11/2019 | Claimant(s): Thomas Kelly
Claimant Lawyers(s): Michael Bessette
Respondent(s): Eastbrook Capital Group LLC
Respondent Lawyers(s): Edward Sampson
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
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| 18-00578 | 12/28/2018 | Claimant(s): Shawn Richardson
Claimant Lawyers(s): Michael Bessette
Respondent(s): Prudential Equity Group, Wells Fargo Clearing Services
Respondent Lawyers(s): Alan S. Brodherson, Geoffrey S. Beckham
Arbitrator(s): Peter H. Daly
Hearing Site: Seattle, WA
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| 18-00657 | 12/10/2018 | Claimant(s): Thomas Kelly
Claimant Lawyers(s): Michael Bessette
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
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| 18-00672 | 11/16/2018 | Claimant(s): David Munoz
Claimant Lawyers(s): Michael Bessette
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
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| 18-00373 | 11/01/2018 | Claimant(s): Gary Davis
Claimant Lawyers(s): Michael Bessette
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Samuel L. McClaren
Hearing Site: Denver, CO
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| 18-00662 | 10/25/2018 | Claimant(s): Josephine White
Claimant Lawyers(s): Michael Bessette
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
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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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| 18-00232 | 09/19/2018 | Claimant(s): John Hyland
Claimant Lawyers(s): Michael Bessette
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon Kaplon
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
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| 18-00034 | 09/13/2018 | Claimant(s): Douglas Donnelly
Claimant Lawyers(s): Michael Bessette
Respondent(s): Prudential Equity Group, Wells Fargo Clearing Services
Respondent Lawyers(s): Alan S. Brodherson, Matthew P. Fischer
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Seattle, WA
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