22-01490 | 09/06/2024 | Claimant(s): Alan Bulotsky, Deluvina Lopez, George Wilson, Janice Almeleh, Jean Wilson, Toby Bulotsky, Grace Lutheran Church of Grace Lutheran, George Wilson IRA, Jean Wilson IRA, Toby D. Bulotsky Trust Claimant Lawyers(s): Adam Gana Respondent(s): Ages Financial Services, Ltd. Respondent Lawyers(s): Kirsten Patzer Arbitrator(s): Randy R. Maher, Janice L. Sperow, Helen W. Kinnaird Hearing Site: San Diego, CA
| | $1,148,130 |
22-01882 | 02/27/2024 | Claimant(s): Esther Kim, Ambrosia Networks LLC Claimant Lawyers(s): Adam Gana Respondent(s): Crown Capital Securities, L.P. Respondent Lawyers(s): Craig R. Bockman Arbitrator(s): Barbara M. Zak, Robert B. Hansohn, Natalie Panossian-Bassler Hearing Site: Los Angeles, CA
| | Expungement |
23-00701 | 11/20/2023 | Claimant(s): Marc Basist Claimant Lawyers(s): Adam Gana Respondent(s): Questar Capital Corporation Respondent Lawyers(s): Heidi E. VonderHeide Arbitrator(s): John James McGovern Hearing Site: Philadelphia, PA
| | Dismissed by Rule 12206(b) |
19-02981 | 07/13/2020 | Claimant(s): Brenda Rossman Claimant Lawyers(s): Adam Gana Respondent(s): Investment Architects. Respondent Lawyers(s): Chad Weaver Arbitrator(s): Mark Alan Sevigny, Gregory Douglas Stone, Carolyn Renee Payne Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206/12504 |
16-01018 | 06/20/2019 | Claimant(s): Amy Eisner, Carolyn Herrmann, David Freilicher, Ellen Nass, Hal Nass, Helene Posnick, Herbert Pfeffer, Jean Schram, John Skalicky, Kirstine Schaeffer, Lawrence Eisner, Marc Hyman, Myrna Barzelatto, Paul Posnick, Richard Schram, Robert Gluckin, Robert Skollar, Thomas Herrmann, William Bernstein, Estate of Joan B. Gluckin, et al Claimant Lawyers(s): Adam J. Weinstein, Adam Gana Respondent(s): David Blisk, Suzanne McKeown, Spire Securities Respondent Lawyers(s): Paul A. Lieberman Arbitrator(s): Sandra D. Parker, Amy Banet, Albert Rizzo Hearing Site: New York, NY
| | $3,000,000 |
17-02425 | 12/05/2018 | Claimant(s): Eugene Gennarelli Claimant Lawyers(s): Adam Gana Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Kent L. Benziger, Jay Alan Kranis Hearing Site: New York, NY
| | Expungement |
17-00360 | 08/13/2018 | Claimant(s): Mary Shea, Patrick Shea Claimant Lawyers(s): Adam Gana Respondent(s): Windsor Street Capital Respondent Lawyers(s): Compliance Officer Arbitrator(s): Tracy L. Allen, Michael S. Jordan, David E. Jarvis Hearing Site: Milwaukee, WI
| | $4,978,000 |
16-00658 | 03/28/2018 | Claimant(s): Richard Levine Claimant Lawyers(s): Adam Gana Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Anthony J. Borrelli Arbitrator(s): Michael J. Quarequio, Richard Carl Smukler, John B. Sochacki Hearing Site: Boca Raton, FL
| | Expungement |
16-02257 | 09/22/2017 | Claimant(s): Karen Fogel, Ronald Fogel Claimant Lawyers(s): Adam Gana Respondent(s): Morgan Stanley Respondent Lawyers(s): Andrew Gelfand Arbitrator(s): Leslie Ruth Nydick Hearing Site: New York, NY
| | Expungement |
16-00938 | 06/21/2017 | Claimant(s): James Khezrie, Joseph Khezrie, E & J Lawrence Corporation Claimant Lawyers(s): Adam Gana Respondent(s): Morgan Stanley Respondent Lawyers(s): Jeremy S. Winer Arbitrator(s): Laura Carraher, Robert E. Anderson, Nancy Kramer Hearing Site: New York, NY
| | Expungement |