| 20-02955 | 05/24/2021 | Claimant(s): William Tomes
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Martin M. Van Luven
Hearing Site: Jacksonville, FL
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| 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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| 20-02939 | 04/12/2021 | Claimant(s): Christine Kelley
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Thomas J. Patka
Hearing Site: Tampa, FL
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| 20-03252 | 04/01/2021 | Claimant(s): Gregory Katulka
Claimant Lawyers(s): Kurt Kalberer
Respondent(s): Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Deirdre Wolff, Kathryn D. Perreault
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
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| 20-02581 | 03/29/2021 | Claimant(s): Thomas Threlfall
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Peter A. Goldman
Hearing Site: New York, NY
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| 20-02845 | 03/04/2021 | Claimant(s): James Krantz
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Sherri Lynne Kimmell
Hearing Site: Atlanta, GA
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| 20-02657 | 02/18/2021 | Claimant(s): Everett Weinberger, William Giordano
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Alice E. Winkler
Hearing Site: New York, NY
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| 20-01493 | 12/17/2020 | Claimant(s): Dennis Hall
Claimant Lawyers(s): Susan M. Kelleher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Linda J. Baer
Hearing Site: Jersey City, NJ
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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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| 19-03791 | 07/15/2020 | Claimant(s): David Cohen
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Stuart K. Furman, Martin M. Van Luven, Thomas Roe Oldt
Hearing Site: Orlando, FL
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