| 12-02144 | 08/11/2023 | Claimant(s): John Dietz, Luis Pernia, Estate of William V. Johnson, Bocagrande Trust, Pienza Trust, dissolved Pernia Family Trust
Claimant Lawyers(s): Victor J. Pioli
Respondent(s): Loria Financial Group, MPS-Loria Financial Planners, RIM Securities LLC, Rochdale Investment Management, Rochdale Offshore Management
Respondent Lawyers(s): Jose A. Lopez, Nicholas P. Iavarone, Ronald P. Kane
Arbitrator(s): Michael S. Matek, Susan L. Walker, Yana Karnaukhov
Hearing Site: Chicago, IL
|  | $0 |
| 16-01794 | 10/11/2017 | Claimant(s): Thomas Donohue
Claimant Lawyers(s): Thomas Donohue
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Stephen D Kursman
Hearing Site: Milwaukee, WI
| | Expungement |
| 15-02212 | 10/05/2016 | Claimant(s): Leaman Ames, Pamela Ames
Claimant Lawyers(s): Mitchell S. Chaban
Respondent(s): Brent Hurt, RBC Capital Markets LLC, Redridge Securities.
Respondent Lawyers(s): Brent Hurt, Ronald P. Kane
Arbitrator(s): Robert W. Edler, Marilee Roberg, Jules Ira Crystal
Hearing Site: Chicago, IL
| | $430,824 |
| 11-01629 | 07/25/2016 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Lee Bloom, Richard Dwyer
Respondent Lawyers(s): Rogge Dunn
Arbitrator(s): John P. Cullem, Frank William Savino, A.J. Seier
Hearing Site: Orlando, FL
| | |
| 14-03531 | 01/19/2016 | Claimant(s): Estate of Glenny B. White
Claimant Lawyers(s): W. Edgar Spivey
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Michael J. Henke, Wesley C. Wilson, Ross E. Legum
Hearing Site: Norfolk, VA
| | $2,036,890 |
| 09-03573 | 11/18/2014 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Derek Delsimone, Robert Burpee
Respondent Lawyers(s): Jacqueline deSouza
Arbitrator(s): Michelle Judy Brant, Amy Seltzer, E. Duane Stephens
Hearing Site: San Francisco, CA
| | |
| 11-04417 | 09/24/2014 | Claimant(s): James Engelbrecht
Claimant Lawyers(s): James M. Engelbrecht
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Michael S. Matek, Gregory G. Wille, Mark A. Frankel
Hearing Site: Milwaukee, WI
| | |
| 10-00154 | 05/14/2014 | Claimant(s): Richard Coale, Robert Hannam, Ronald White
Claimant Lawyers(s): Daniel Marino
Respondent(s): Christopher Dumont, Banc of America Investment Services Inc.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Thomas Caiaffa, Julian F. Santos, Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | |
| 12-00441 | 02/24/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Michael Hawkes
Respondent Lawyers(s): Melinda Jane Steuer
Arbitrator(s): Reed H. Bement, Jarrott T. Miller, Amy Seltzer
Hearing Site: San Francisco, CA
| | |
| 08-03364 | 02/19/2014 | Claimant(s): David Abbott, James Abbott, Michael Abbott
Claimant Lawyers(s): Peter A. Cantwell
Respondent(s): Charles Lane, RBC Capital Markets Corporation
Respondent Lawyers(s): Charles A. Lane, Ronald P. Kane
Arbitrator(s): Michael F. Jordan, Stephen C. Esposito, Suanne F. Goldman
Hearing Site: Chicago, IL
| | $201,240 |
