| 11-02533 | 05/30/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): David H. Smith
Respondent(s): Michael Penkethman
Respondent Lawyers(s): Michael Penkethman
Arbitrator(s): Joan M. Traub
Hearing Site: Newark, NJ
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| 11-03752 | 10/30/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): David H. Smith
Respondent(s): Michael Dicambio
Respondent Lawyers(s): Michael DiCambio
Arbitrator(s): Dennis A. Torres
Hearing Site: Los Angeles, CA
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| 10-04548 | 05/09/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): David H. Smith
Respondent(s): John Arquette
Respondent Lawyers(s): John Robert Arquette
Arbitrator(s): Guenter S. Cohn
Hearing Site: San Diego, CA
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| 08-01708 | 05/24/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): David H. Smith
Respondent(s): Mark Pollack
Respondent Lawyers(s): Mark Pollack
Arbitrator(s): Jeffrey Steinberg, Nathan J. Minucci, Ernest Edward Badway
Hearing Site: Newark, NJ
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| 09-03806 | 02/11/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): David H. Smith
Respondent(s): Richard Walker
Respondent Lawyers(s): Richard Cameron Walker
Arbitrator(s): Paul Frederick Meyer
Hearing Site: Los Angeles, CA
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| 06-05002 | 12/30/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): David H. Smith
Respondent(s): Jeffrey Myers
Respondent Lawyers(s): Jeffrey Myers
Arbitrator(s): M. Eileen Dorsey, Sandra D. Deters, Matthew R. Salamon
Hearing Site: St. Louis, MO
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| 06-04407 | 06/03/2009 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): David H. Smith
Respondent(s): David Bryant
Respondent Lawyers(s): Jonathan W. Evans
Arbitrator(s): Donald T. Meder, Dorothy B. Strackbein, Robert Elman
Hearing Site: Los Angeles, CA
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| 06-03292 | 01/28/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): David H. Smith
Respondent(s): Robert Peck
Respondent Lawyers(s): Robert Peck
Arbitrator(s): Robert B. Kane, Nelson J. Brous, Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
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| 06-04968 | 07/02/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): David H. Smith
Respondent(s): Sergio Negrini
Respondent Lawyers(s): David R. Chase
Arbitrator(s): Syma S. Kasdin, Richard J. Kaplan, Norman E. Heyman
Hearing Site: Boca Raton, FL
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