| 14-02170 | 01/29/2019 | Claimant(s): John Fichera, John Hoidas, Lawrence Doody
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): William Vellon, Kingsbury Capital LLC, Spencer Trask Ventures.
Respondent Lawyers(s): Barry M. Bordetsky, Nicholas P. Iavarone
Arbitrator(s): Michael S. Matek, Thomas F. Ryan, Michael Nathanson
Hearing Site: Chicago, IL
| | |
| 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 |
| 16-00543 | 12/12/2016 | Claimant(s): John Toman
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Brett W. Everhart, Doris V. Knotter, Randy R. Maher
Hearing Site: San Diego, CA
| | |
| 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 |
| 13-02543 | 10/06/2014 | Claimant(s): David Gordon
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): James Cox
Respondent Lawyers(s): Gabriella Moretti
Arbitrator(s): Peter Ordower, Sanford J. Prizant, Mark L Miller
Hearing Site: Chicago, IL
| | |
| 12-03180 | 12/30/2013 | Claimant(s): Vincent Romano
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Thomas F. Hurka
Arbitrator(s): Michael S. Matek, Michael I. White, Loren H. Newman
Hearing Site: Chicago, IL
| | |
| 11-04371 | 09/18/2013 | Claimant(s): Gary Burgess
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Ira Rosenstein
Arbitrator(s): Daniel R. Formeller, David M. Zimberoff, Harvey R. Herman
Hearing Site: Chicago, IL
| | |
| 11-03896 | 01/02/2013 | Claimant(s): Steven Stroker
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Epaminondas Eddie Manelis, Robert Lewis Brown, Franklin Sariel Schwerin
Hearing Site: Chicago, IL
| | |
| 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 |
