18-02222 | 05/03/2019 | Claimant(s): James Allen Claimant Lawyers(s): Joshua B. Kons Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): David I. Hantman Arbitrator(s): Michael S. Matek Hearing Site: Chicago, IL
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17-02820 | 01/22/2019 | Claimant(s): Jon Erickson Claimant Lawyers(s): Joshua B. Kons Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Elliott D. Finkel, Mark S. Priver, William Ogburn Huggins Hearing Site: Las Vegas, NV
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15-01606 | 12/26/2017 | Claimant(s): Donovan Essen, Palm City Family Dental Care Profit Shar Claimant Lawyers(s): Joshua B. Kons Respondent(s): Duane Goodell, Triad Advisors. Respondent Lawyers(s): Gregg Breitbart Arbitrator(s): James W. Geiger, Carl Shechter, Ronald W. Weissman Hearing Site: Boca Raton, FL
| | Expungement |
16-01304 | 10/06/2017 | Claimant(s): Joseph Louie, Wai Louie Claimant Lawyers(s): Joshua B. Kons Respondent(s): Oppenheimer & Co.., Michael Rosenmayer Respondent Lawyers(s): Donald A. Corbett Arbitrator(s): Alan Stamm, Richard N. Friedman, Cynthia Cashman Makin Hearing Site: Los Angeles, CA
| | Expungement |
14-01246 | 07/27/2015 | Claimant(s): Joanne Almonte Claimant Lawyers(s): Joshua B. Kons Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Matthew T. Wholey Arbitrator(s): James J. O'Donnell, Josefa Antonia Sicard-Mirabal, Ronald Harris Kisner Hearing Site: New York, NY
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14-00531 | 07/02/2015 | Claimant(s): Dennis Sellers Claimant Lawyers(s): Joshua B. Kons Respondent(s): Respondent Lawyers(s): Arbitrator(s): Vicky L. Orem Hearing Site: Richmond, VA
| | Expungement |
14-00774 | 06/15/2015 | Claimant(s): Jerry Dean, Jerry Dean IRA, Roth IRA and SEP IRA Claimant Lawyers(s): Joshua B. Kons Respondent(s): John Thomas Financial Respondent Lawyers(s): Maria Cummings Arbitrator(s): Mollie Wagner Neal, Sanford S. Finder, Harvey Russell Preston Hearing Site: Columbia, SC
| | $122,000 |
14-01628 | 04/15/2015 | Claimant(s): Adam Steinberg, Jeffrey Steinberg, Adam Steinberg SEP IRA Claimant Lawyers(s): Joshua B. Kons Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Logan S. Fisher Arbitrator(s): Mark L Miller Hearing Site: Chicago, IL
| | $15,300 |
11-04048 | 01/29/2015 | Claimant(s): Susan Lawshe Claimant Lawyers(s): Joshua B. Kons Respondent(s): Christopher Coppola, Ameriprise Financial Services. Respondent Lawyers(s): Edward A. Walton Arbitrator(s): Samuel H. Chorches Hearing Site: Hartford, CT
| | $0 |
13-03763 | 08/15/2014 | Claimant(s): Evelyn McDowell, John McDowell Claimant Lawyers(s): Joshua B. Kons Respondent(s): Capital Financial Services. Respondent Lawyers(s): Gara M. Seagraves Arbitrator(s): Ray J. Grzebielski Hearing Site: Indianapolis, IN
| | $50,000 |