| 12-02144 | 08/11/2023 | Claimant(s): John Dietz, Luis Pernia, Estate of William V. Johnson, Bocagrande Trust, Pienza Trust, dissolved Pernia Family Trust
Claimant Lawyers(s): Victor J. Pioli
Respondent(s): Loria Financial Group, MPS-Loria Financial Planners, RIM Securities LLC, Rochdale Investment Management, Rochdale Offshore Management
Respondent Lawyers(s): Jose A. Lopez, Nicholas P. Iavarone, Ronald P. Kane
Arbitrator(s): Michael S. Matek, Susan L. Walker, Yana Karnaukhov
Hearing Site: Chicago, IL
|  | $0 |
| 17-00463 | 01/20/2020 | Claimant(s): Shahida Hossain
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Lindsay Wuller
Arbitrator(s): Ray J. Grzebielski, Robert J. Larson, Elizabeth C. Burton
Hearing Site: Chicago, IL
| | $0 |
| 15-02941 | 12/08/2017 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Louis Kittlaus, William Bringham, Kingsbury Capital.
Respondent Lawyers(s): James F. Carlson, Louis Karl Kittlaus, Nicholas P. Iavarone
Arbitrator(s): Mark E. Larson, Epaminondas Eddie Manelis, Michael J. Rappa
Hearing Site: Chicago, IL
| | Expungement |
| 13-01981 | 07/21/2015 | Claimant(s): David Turza, Erin Turza as custodian for Lauren Turza, Erin Turza as custodian for Samantha Tur
Claimant Lawyers(s): Laurence M. Landsman, Nicholas P. Iavarone
Respondent(s): Wells Fargo Advisors, UBS Financial Services Inc., Richard Ceffalio
Respondent Lawyers(s): Angela A. Turiano, Michael Naccarato, Stephany D. McLaughlin
Arbitrator(s): Jerome F. Crotty, Lynn Hirschfeld Brahin, Raymond P. Buschmann
Hearing Site: Chicago, IL
| | Expungement |
| 13-02584 | 01/29/2015 | Claimant(s): Tae M. Kim and Young J. Kim
Claimant Lawyers(s): Tae M. Kim
Respondent(s): TD Ameritrade., Investrade Discount Sec. aka Regal Sec.
Respondent Lawyers(s): James J. Vihstadt, Nicholas P. Iavarone
Arbitrator(s): Ezio E. Borchini, Mona Koppel Mitnick, Catherine Esther Bocskor
Hearing Site: Baltimore, MD
| | $0 |
| 11-00679 | 08/20/2012 | Claimant(s): S.R. Takayama
Claimant Lawyers(s): Lawrence R. Cock
Respondent(s): Claude Ohanesian, Citigroup Global Markets., Morgan Stanley, Michael Coleman
Respondent Lawyers(s): Nicholas P. Iavarone, Patrick G. King
Arbitrator(s): Kathryn J. Toronto, Peter H. Daly, Anthony G. Sousa
Hearing Site: San Francisco, CA
| | Expungement |
| 10-00962 | 03/08/2011 | Claimant(s): Mary Hess, Mary Abbott Hess as TTEE and Beneficiary
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Kathryn Kennedy
Respondent Lawyers(s): Patrick G. King
Arbitrator(s): Ray J. Grzebielski, Theresa A Gillerlain, Jeffrey L. Durkes
Hearing Site: Chicago, IL
| | $0 |
| 08-00672 | 12/02/2009 | Claimant(s): Dan Camphausen, Edmund Templeton, Gerald Tahtinen, Larry Myhre, OADS, INC., Heidi Sparacino, IRA, Judith Meyers, Bartlett and Doris Richards, Dennis and Heidi Sparacino, Bonnie Meyers, Indiv & as Trustee of, Shirely Wong Profit Sharing Trust, The Gerald and Mary Dassow Trust
Claimant Lawyers(s): Laurence M. Landsman, Nicholas P. Iavarone
Respondent(s): Advanced Equities.
Respondent Lawyers(s): Thomas P. Yardley
Arbitrator(s): Ralph M. Goren, Theodore L. Leeb, Craig D. Cook
Hearing Site: Chicago, IL
| | $174,766 |
| 08-01204 | 06/04/2009 | Claimant(s): Brian McDonald
Claimant Lawyers(s): Retta A. Miller
Respondent(s): Robyn Reagan, Regal Securities Inc.
Respondent Lawyers(s): Nicholas P. Iavarone, Steven J. Berry
Arbitrator(s): Maxel (Bud) B. Silverberg, George F. Longino, Leighton Aiken
Hearing Site: Dallas, TX
| | $172,864 |
