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 |
21-01512 | 07/01/2022 | Claimant(s): Mitchell Dehler, Sadhna Dehler, Mitchell Dehler SEP IRA, Sadhna Dehler Roth IRA Claimant Lawyers(s): Adam J. Gana Respondent(s): First Allied Securities. Respondent Lawyers(s): Elizabeth Lowery Arbitrator(s): Susan B. Gans-Smith, Gerald Anthony Pokorski, Aaron Nathan Shechet Hearing Site: Los Angeles, CA
| | Expungement |
19-00513 | 11/13/2020 | Claimant(s): Donna Nicosia Claimant Lawyers(s): Adam J. Gana Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Frank J. Cuccio Arbitrator(s): Aubrey Lees, Betty Chen, Ariel Aminov Hearing Site: New York, NY
| | Settlement |
17-01152 | 10/04/2018 | Claimant(s): Joan Gara Claimant Lawyers(s): Adam J. Gana Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Jennifer R. Willey, Karl L. Marquardt Arbitrator(s): Langfred W. White, Victoria G.A. Willingham, Brian Michael Kane Hearing Site: Jacksonville, FL
| | Expungement |
15-00963 | 11/22/2016 | Claimant(s): Carl Alexen, Kristy Crouch, Louis Morales, Luis Mendez, Marianne Kuzneski, Martha Phillips, Mary Steele, Michel Sanner, Mildred Jazmin, Mitsi Yoss, Phyllis Kuo, Sonia Johnson, Suzette Cohen, Timothy Wassil, Verna Papotta, Wesley Kuo, William Kuzneski, Christel Vincth IRA, Martha Phillips IRA, Ronald Turner IRA, et al Claimant Lawyers(s): Adam J. Gana, Adam J. Weinstein, Daniel Gwertzman Respondent(s): Wilson-Davis & Company. Respondent Lawyers(s): Mark O. Van Wagoner Arbitrator(s): Kenneth E. Owen, Eric Gad Forster, Daniel James Yee Hearing Site: Los Angeles, CA
| | $99,441 |
15-01634 | 03/16/2016 | Claimant(s): Michael L. Kennedy 1998 Trust Claimant Lawyers(s): Adam J. Gana Respondent(s): Berthel, Fisher & Company Financial Serv Respondent Lawyers(s): Nicole Lomibao Arbitrator(s): John J. Flynn, Robert H. Cornell, Marilyn Burrill O'Toole Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
15-01421 | 01/11/2016 | Claimant(s): Vera Bensimhon Claimant Lawyers(s): Adam J. Gana Respondent(s): Abraham Bensimhon, Halcyon Cabot Partners, Ltd. Respondent Lawyers(s): Adam J. Gana, Ronald Heineman Arbitrator(s): Edward W. Morris Hearing Site: New York, NY
| | $44,317 |
15-00363 | 07/31/2015 | Claimant(s): Lesleigh Root Claimant Lawyers(s): Adam J. Gana Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Susan E. Sheely Arbitrator(s): Mary Margaret Bush Hearing Site: San Francisco, CA
| | $31,757 |
14-01767 | 12/18/2014 | Claimant(s): Emily Nichols Claimant Lawyers(s): Adam J. Gana Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Timothy B. Atkins Arbitrator(s): Jerome A. Pivnik, Herbert Branitsky, Jezabel Llorente Hearing Site: Miami, FL
| | Expungement |
11-02754 | 09/04/2013 | Claimant(s): Edward Horvath, Pamela Horvath Claimant Lawyers(s): Adam J. Gana Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David G. Smitham Arbitrator(s): Irwin Kahn, Elizabeth Gilbert, Mitchell Jay Bayer Hearing Site: New York, NY
| | Expungement |