| 16-00021 | 11/28/2016 | Claimant(s): Linda Anthony
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): MML Investors Services, Voya Financial Advisors.
Respondent Lawyers(s): Bryce Benson, William P. Thornton
Arbitrator(s): Dale C. Putman, Susan A. Berson, Joseph Neal Richardson
Hearing Site: Wichita, KS
|  | Expungement |
| 15-00211 | 10/28/2016 | Claimant(s): Greenall.
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): LPL Financial LLC, George Leidel
Respondent Lawyers(s): Joshua A. Katz, Ryan T. Probstfeld
Arbitrator(s): Patricia Gunn, John B. Roe, Karl A. Vogeler
Hearing Site: Tampa, FL
| | Expungement |
| 15-00762 | 10/13/2016 | Claimant(s): Tokena Corporation
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Next Financial Group.
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Robert Titus, Shari B. Broder, Richard E. Castiglioni
Hearing Site: Manchester, NH
| | Expungement |
| 14-03606 | 07/27/2016 | Claimant(s): The Adventure Group Revocable Living
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Lawson Financial Corporation
Respondent Lawyers(s): Daniel P. Dietrich
Arbitrator(s): Roger C. Benson
Hearing Site: Tampa, FL
| | $523,617 |
| 14-03775 | 12/18/2015 | Claimant(s): William Freas
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Rockwell Global Capital LLC
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Elliot B. Platt, Mark H. Stein, Joseph H. Danziger
Hearing Site: Philadelphia, PA
| | $35,000 |
| 14-02940 | 11/20/2015 | Claimant(s): Marilyn Mungo, Thomas Mungo
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Stuart K. Furman
Hearing Site: Orlando, FL
| | Expungement |
| 14-02264 | 11/12/2015 | Claimant(s): JSF Inv L.P.
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Sigma Financial Corporation
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): John P. Wilson, George King, Vivian L. Kral
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
| 13-02122 | 10/07/2014 | Claimant(s): Jerry Camilli
Claimant Lawyers(s): Jonathan Kurta
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Thaddeus J. Tecza, Robert John Wagener, James Mark Eason
Hearing Site: Albuquerque, NM
| | $1,128,700 |
| 13-02081 | 08/13/2014 | Claimant(s): Thomas Berry
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Irwin Kahn, Gayle S. Sanders, Jeanne M. Keefe
Hearing Site: New York, NY
| | Expungement |
| 11-00311 | 04/16/2012 | Claimant(s): Shearman, Ralston Inc.
Claimant Lawyers(s): Caren S. Brutten
Respondent(s): Ridge Clearing & Outsourcing Solutions
Respondent Lawyers(s): Jonathan Kurta
Arbitrator(s): John B. Morgan, Fred Shinagel, Anthony Charles Ginetto
Hearing Site: New York, NY
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