| 23-03644 | 10/31/2024 | Claimant(s): April Schuster, Jennifer Smykowski, Marina Heine, Michael Hall, Patricia Labrosciano, Peter Smykowski, Roy Heine, Robert E. Prost & Rita R. Prost Trust
Claimant Lawyers(s): Adam J. Gana, Jonathan Kurta
Respondent(s): Wintrust Investments LLC
Respondent Lawyers(s): Melvin G. Moseley
Arbitrator(s): Alden Sharp Adkins, John William Kenesey, Lisa M. Lilly
Hearing Site: Chicago, IL
|  | Dismissed by Rule 12206 |
| 23-00578 | 11/17/2023 | Claimant(s): Tim Tompkins
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Emily M. Knight
Arbitrator(s): Kenneth R. Starr, Danny Lynn Ingram, Karen Bonnie Biggs
Hearing Site: Raleigh, NC
| | Dismissed by Rule 12206(b) |
| 21-01766 | 04/10/2023 | Claimant(s): Joseph Kutches
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): World Equity Group.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Mark L Miller, Edward John Zulkey, Gerald G Saltarelli
Hearing Site: Chicago, IL
| | $0 |
| 21-00194 | 08/25/2022 | Claimant(s): Brigitte Sodhi, Sukhinder Sodhi
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Douglas Earl McLaren, Richard H. Porter, Edward Paul Gibson
Hearing Site: Washington, DC
| | Expungement |
| 20-02239 | 05/12/2021 | Claimant(s): Janet Buggeln, Janet F. Buggeln Liv Trt u/a/d 5/12/17
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): George W. Harding, Aryka Steele Radke, Richard Kent Mahrle
Hearing Site: Phoenix, AZ
| | Expungement |
| 19-02237 | 04/14/2021 | Claimant(s): Darwin Vinson, Lajane Vinson
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Gayle B. Carlson
Hearing Site: Jackson, MS
| | Expungement |
| 20-00944 | 01/28/2021 | Claimant(s): Julian Skalski
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Thomas R. Watkins, Edward H. Davis, Lynn Vivian Dymally
Hearing Site: Los Angeles, CA
| | $685,159 |
| 18-03740 | 04/13/2020 | Claimant(s): Donna Kun
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): LPL Financial LLC, David Pickler
Respondent Lawyers(s): Michael A. Brady
Arbitrator(s): William L. Cravens, Todd Fernell Brown, Will Pryor
Hearing Site: Dallas, TX
| | Expungement |
| 18-03741 | 01/24/2020 | Claimant(s): Donna Kun
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Carty & Company.
Respondent Lawyers(s): John J. Heflin
Arbitrator(s): Bill Lamoreaux, Mary Elizabeth Skelnik, Joseph Neal Richardson
Hearing Site: Dallas, TX
| | $0 |
| 17-02183 | 07/24/2019 | Claimant(s): Josephine Zanoni, Richard Zanoni, The Zanoni Family Trust
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey, Karl L. Marquardt
Arbitrator(s): Carole L. Green, David John Reilly, Mitchell Regenbogen
Hearing Site: New York, NY
| | Expungement |
