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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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
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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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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
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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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