22-01207 | 11/11/2024 | Claimant(s): Birchwood Resources., Detroit Street Partners. Claimant Lawyers(s): Jason J. Kane Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Ronald J. Tomassi Arbitrator(s): Richard J. Lawrence, Mark J. Loewenstein, Robert M. Fusfeld Hearing Site: Denver, CO
| | Expungement |
20-01422 | 03/09/2022 | Claimant(s): Lisa Craig, Renee Allie Claimant Lawyers(s): Jason J. Kane Respondent(s): Stifel, Nicolaus & Co.. Respondent Lawyers(s): George C. Freeman Arbitrator(s): Mark A. Myers, Stephen Edgar Eisenbraun, Valerie Turner Schexnayder Hearing Site: New Orleans, LA
| | Expungement |
20-02099 | 02/23/2022 | Claimant(s): Kevin O'Neill Claimant Lawyers(s): Jason J. Kane Respondent(s): Mark Kolta Respondent Lawyers(s): Tosh Grebenik Arbitrator(s): Richard W. Vallario, Lori H. Carena, Gerald M. Levine Hearing Site: New York, NY
| | $0 |
18-03495 | 02/15/2022 | Claimant(s): Diane Sagrillo, Robert Sagrillo Claimant Lawyers(s): Jason J. Kane Respondent(s): David Turner, John Vansant, Cascade Financial Management. Respondent Lawyers(s): David Hirschberg Arbitrator(s): Richard J. Lawrence, Baldwin Ranson, Eileen Joan Carpenter Hearing Site: Denver, CO
| | Expungement |
20-03424 | 02/01/2022 | Claimant(s): Kay Akins, Leon Akins Claimant Lawyers(s): Jason J. Kane Respondent(s): Vanguard Marketing Corporation Respondent Lawyers(s): Paula D. Shaffner Arbitrator(s): Robert S. Sugarman, Elena P. Anastasiou, Lisa Sandlow Imber Hearing Site: Chicago, IL
| | Expungement |
21-00021 | 01/06/2022 | Claimant(s): Dierdre Hallick, Mark Hallick Claimant Lawyers(s): Jason J. Kane Respondent(s): Securities America., Investacorp Inc., Stephen Lawler, First Allied Securities. Respondent Lawyers(s): Justin Sacca, Sean T. Needham Arbitrator(s): Leonard Arthur Nelson, Jonathan B. Gilbert, Stuart W. Smith Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
20-00161 | 11/09/2021 | Claimant(s): Carol Avery, Robert Avery Claimant Lawyers(s): Jason J. Kane Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Neils P. Murphy Arbitrator(s): Sherry R. Wetsch, Jude A Smith, Mark Ritchie Hearing Site: Houston, TX
| | $51,375 |
20-03296 | 10/22/2021 | Claimant(s): Andrew Chisholm Claimant Lawyers(s): Jason J. Kane Respondent(s): Ameriprise Financial Services, Michael Cooper Respondent Lawyers(s): Sydney H. Crowder Arbitrator(s): Camille S. Cooper, Ellyn S. Roth, Charlane Brown Hearing Site: New York, NY
| | $0 |
18-02447 | 06/22/2021 | Claimant(s): Tupper Briggs Claimant Lawyers(s): Jason J. Kane Respondent(s): VSR Financial Services., Robert Burns, Summit Brokerage Services. Respondent Lawyers(s): Derek C. Anderson Arbitrator(s): Steven Meyrich, Donald N. Tolin, Deanna M. Tuley Hearing Site: Denver, CO
| | Expungement |
19-02820 | 11/11/2020 | Claimant(s): Stanley & Millicent Barasch Living Trust Claimant Lawyers(s): Jason J. Kane Respondent(s): Crystal Bay Securities. Respondent Lawyers(s): Rafael Golan Arbitrator(s): Rosemarie Ann Jannuzzi, Robert J. Buchner, Magda M. Fernandez Torres Hearing Site: Boca Raton, FL
| | $1,351,180 |