| 23-01096 | 12/14/2023 | Claimant(s): Carlos Legaspy
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Insight Securities.
Respondent Lawyers(s): James Gaafar
Arbitrator(s): Lawrence W. Arness, Karl Richard Lukens, David Miller
Hearing Site: Chicago, IL
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| 20-00721 | 06/30/2023 | Claimant(s): Insight Securities.
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Deutsche Bank Securities., Gloria Molina, Pascal Landrove, Reynaldo Figueiredo
Respondent Lawyers(s): David G. Januszewski
Arbitrator(s): Christopher J. Klein, Richard Lewis Zack, Mark A. Jacoby
Hearing Site: Boca Raton, FL
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| 21-01761 | 11/07/2022 | Claimant(s): Carlos Legaspy
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Insight Securities.
Respondent Lawyers(s): James Gaafar
Arbitrator(s): Lawrence W. Arness, Marilee Roberg, Seymour Andrew Newman
Hearing Site: Chicago, IL
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| 19-03258 | 04/09/2021 | Claimant(s): Charles Hall
Claimant Lawyers(s): Victor L. Hayslip
Respondent(s): Asher Wolmark, William Vellon, Kingsbury Capital.
Respondent Lawyers(s): Nicholas P. Iavarone
Arbitrator(s): Gayle B. Carlson, Lane A. Fentriss, Denise Morris Hammond
Hearing Site: Orlando, FL
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| 19-02000 | 04/08/2020 | Claimant(s): Insight Securities.
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): David G. Januszewski
Arbitrator(s): Leonard M. Bakal, Alice Holly Oshins, Raquel Kraus
Hearing Site: New York, NY
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| 16-03756 | 03/14/2020 | Claimant(s): Daniel Jakuta, David Heide, John Golen, Mark Anderson
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Rima F. Hartman
Arbitrator(s): Mark L Miller, Arne R. Rode, Alfonso Cobb
Hearing Site: Chicago, IL
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| 18-02012 | 12/05/2019 | Claimant(s): Mark Pent
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): P J Boylan, Stuart S. Mukamal, Bryan K. Nestor
Hearing Site: Milwaukee, WI
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| 17-01139 | 11/12/2019 | Claimant(s): Denise Kappel
Claimant Lawyers(s): Jack Samuel Tenenbaum
Respondent(s): Asher Wolmark, William Vellon, Kingsbury Capital Investment AdvisorsLLC, Kingsbury Capital Securities Inc, Kingsbury Capital., Kingsbury
Respondent Lawyers(s): Corporate Office, Nicholas P. Iavarone, William Vellon
Arbitrator(s): Ray J. Grzebielski, Thomas P. Valenti, Courtney Paige Delaney
Hearing Site: Chicago, IL
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| 14-02170 | 01/29/2019 | Claimant(s): John Fichera, John Hoidas, Lawrence Doody
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): William Vellon, Kingsbury Capital LLC, Spencer Trask Ventures.
Respondent Lawyers(s): Barry M. Bordetsky, Nicholas P. Iavarone
Arbitrator(s): Michael S. Matek, Thomas F. Ryan, Michael Nathanson
Hearing Site: Chicago, IL
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| 16-00543 | 12/12/2016 | Claimant(s): John Toman
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Brett W. Everhart, Doris V. Knotter, Randy R. Maher
Hearing Site: San Diego, CA
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