| 18-01095 | 10/17/2018 | Claimant(s): John Hudspeth
Claimant Lawyers(s): Todd Gutfleisch
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Joseph H. Cerame
Hearing Site: Newark, NJ
| | |
| 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
| | |
| 18-00473 | 08/31/2018 | Claimant(s): David Christensen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
| | |
| 18-00416 | 08/15/2018 | Claimant(s): Trent Montague
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | |
| 18-00290 | 08/14/2018 | Claimant(s): Kenneth Hill
Claimant Lawyers(s): Eric Litow
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Leonard E. Benade
Hearing Site: Raleigh, NC
| | |
| 17-03241 | 07/10/2018 | Claimant(s): Samuel Belsito
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael R. Gaico, Sarah K. Yates
Arbitrator(s): Robert E. Anderson
Hearing Site: Hartford, CT
| | |
| 16-02503 | 06/04/2018 | Claimant(s): Brent Adkison, Joan Adkison
Claimant Lawyers(s): William E. Goodwin
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Kenneth R. Starr, Thomas Joseph Atkinson, Ralph O. Bolt
Hearing Site: New Orleans, LA
|  | $0 |
| 17-01811 | 05/30/2018 | Claimant(s): Gregory Golding
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Salt Lake City, UT
| | |
| 17-02260 | 05/25/2018 | Claimant(s): Elizabeth Angelone
Claimant Lawyers(s): Owen Harnett
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Joseph I. Liebman
Hearing Site: New York, NY
| | |
| 17-02762 | 05/24/2018 | Claimant(s): John Macielag
Claimant Lawyers(s): Michael Bessette
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Jane C. Carney
Hearing Site: Washington, DC
| | |
