| 12-03920 | 05/13/2013 | Claimant(s): Dean Wiltshire, Jerret Brantley, Pauline Rhiney
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Robert Van Zandt
Respondent Lawyers(s): Robert Henry Van Zandt
Arbitrator(s): Gregory J. Getz
Hearing Site: New York, NY
|  | $52,762 |
| 11-03239 | 03/12/2013 | Claimant(s): Donna Cleveland
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Theodore Snyder
Arbitrator(s): James J. Fishman, Evdokia Sofos, Ann P. Bruch
Hearing Site: New York, NY
| | $0 |
| 12-01158 | 02/06/2013 | Claimant(s): Gerald Kaiser
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Gregory Berger, UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James D. Sallah, Polina M. Dostalik
Arbitrator(s): Richard W. Cutler, Irene C. Warshauer, Herman Taub
Hearing Site: New York, NY
| | $0 |
| 11-01901 | 11/30/2012 | Claimant(s): Henry Weiss
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Steven Gerard Goerke, Jill Pilgrim, Marie G. Peterson
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 12-01722 | 11/30/2012 | Claimant(s): George Heise, Janelle Heise
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Nancy Ziering
Respondent Lawyers(s): Nancy Robyn Ziering
Arbitrator(s): Richard D. DeVita
Hearing Site: Newark, NJ
| | $15,705 |
| 09-00671 | 07/09/2012 | Claimant(s): Nick Noriea, Noriea V Investments, Noriea VII Investments, Noriea XI Investments
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): G. Wayne Hills
Arbitrator(s): Allen J. Krouse, Thomas Edmond Mingledorff, Richard J. Clement
Hearing Site: New Orleans, LA
| | $0 |
| 09-05426 | 10/11/2011 | Claimant(s): William McIroy
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Nikolas Komyati
Arbitrator(s): Linda T. Pellegrino, Charles L. Prothero, Gerald Joseph Coughlin
Hearing Site: Newark, NJ
| | Expungement |
| 10-01538 | 10/11/2011 | Claimant(s): James Clifford
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Wayne Hillis
Arbitrator(s): Fred S. Pieroni
Hearing Site: New York, NY
| | $0 |
| 09-07271 | 07/21/2011 | Claimant(s): Roger Fross
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): John K. Notz, Ann Wilhelmina Kuppe, Elena P. Anastasiou
Hearing Site: Chicago, IL
| | Expungement |
| 08-04956 | 02/01/2011 | Claimant(s): Cecil Wyatt, Nellie Wyatt
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Robert M. Brennan
Arbitrator(s): M. Eileen Dorsey, Lynne M. Gomez, David F. Barrett
Hearing Site: Birmingham, AL
| | $210,375 |
