| 21-02703 | 05/13/2022 | Claimant(s): Peter Joers
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc of America Securities LLC
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Stephany Adriene Watson
Hearing Site: Seattle, WA
| | |
| 18-02831 | 02/06/2019 | Claimant(s): Marva Monroe
Claimant Lawyers(s): Marva M. Monroe
Respondent(s): Banc of America Securities LLC, Merrill Lynch Pierce Fenner & Smith Inc., Paul Donofrio
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Bruce W. Bennett
Hearing Site: Atlanta, GA
|  | $0 |
| 10-05583 | 02/23/2016 | Claimant(s): John Delaney
Claimant Lawyers(s): Jonathan Honig
Respondent(s): Banc of America Securities LLC
Respondent Lawyers(s): Patrick J. Lamparello
Arbitrator(s): Karen Isabel Bedrosian - Richardson, Toby Susan DeSimone, Adam M. Kauff
Hearing Site: New York, NY
| | |
| 12-01252 | 03/25/2014 | Claimant(s): Shaun Moran
Claimant Lawyers(s): Shaun Moran
Respondent(s): Banc of America Securities LLC, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Walter C. Parrish, David J. Weisenfeld, Barbara Antonello Mentz
Hearing Site: New York, NY
| | |
| 11-03163 | 03/15/2013 | Claimant(s): Alan Hartman
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Banc of America Securities LLC, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Daniel Altchek
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | |
| 10-00998 | 10/04/2012 | Claimant(s): Mark Conklin, The Conklin Corporation
Claimant Lawyers(s): Vincent J. Imbesi
Respondent(s): Banc of America Securities LLC
Respondent Lawyers(s): Lloyd Clareman
Arbitrator(s): Joan M. Traub, Laura H. Goldzung, Linda J. Baer
Hearing Site: Newark, NJ
| | Expungement |
| 10-01484 | 07/07/2011 | Claimant(s): O. Robert Marino & Linda Marino
Claimant Lawyers(s): Henry I. Pass
Respondent(s): Klaus Miller, Banc of America Securities LLC, Merrill Lynch Pierce Fenner & Smith Inc., The Hoey Group
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Rafael A. Porrata-Doria, John J. Jordan, Howard B. Scherer
Hearing Site: Philadelphia, PA
| | Expungement |
| 08-01341 | 07/02/2010 | Claimant(s): Stephen Ketchum
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Banc of America Securities LLC
Respondent Lawyers(s): Steven D. Hurd
Arbitrator(s): Allan E. Johnson, Jay L. Zelesnick, Adam B. Lass
Hearing Site: New York, NY
| | |
| 08-04948 | 03/30/2010 | Claimant(s): The Westervelt Company
Claimant Lawyers(s): Peter R. Sonderby
Respondent(s): Banc of America Securities LLC
Respondent Lawyers(s): Jonathan Rosenberg
Arbitrator(s): Kendall P. Hill, Fred M. Ridolphi, M. Bruce Adelberg
Hearing Site: Birmingham, AL
| | $6,025,000 |
| 08-00319 | 07/06/2009 | Claimant(s): Christian Martin
Claimant Lawyers(s): Gregory Vidler
Respondent(s): Banc of America Securities LLC
Respondent Lawyers(s): Mark A. Nebrig
Arbitrator(s): Mary L. Merkle, Sandra J. Mullings, Richard Lee Mansdoerfer
Hearing Site: New York, NY
| | |
