| 12-02874 | 11/21/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Douglas Warstler
Respondent Lawyers(s): Douglas William Warstler
Arbitrator(s): Richard J. Kaplan
Hearing Site: Boca Raton, FL
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| 12-01068 | 11/14/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Steven Elefson
Respondent Lawyers(s): Thomas L. Azar
Arbitrator(s): Thomas J. Ray, Jerry M. Deters, David Cottingham Mann
Hearing Site: St. Louis, MO
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| 10-02139 | 03/19/2013 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Caio Dunson
Respondent Lawyers(s): Tanya Sacks
Arbitrator(s): Louis R. Eglash, Mandel E. Himelstein, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
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| 10-04927 | 02/13/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Daniel Kole
Respondent Lawyers(s): Kimberly A. Capadona
Arbitrator(s): James M. Baumann, Jacob Aschkenasy, Leo J. Karwejna
Hearing Site: Newark, NJ
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| 11-02299 | 01/31/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Kenneth Buccelli
Respondent Lawyers(s): Allen P. Whitehead
Arbitrator(s): Susanne J. Hollander
Hearing Site: Orlando, FL
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| 11-02507 | 10/29/2012 | Claimant(s): Brian Williams
Claimant Lawyers(s): Peter Pattakos
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): John C. DeMoss
Hearing Site: Minneapolis, MN
|  | $37,500 |
| 09-06592 | 12/09/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Thomas Flaherty
Respondent Lawyers(s): Matthew LeFande
Arbitrator(s): Michael Wolf, Kermit C. Zieg, Richard Charles Hotvedt
Hearing Site: Washington, DC
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| 10-04374 | 11/22/2011 | Claimant(s): Grisel Wiley, Jerry Wiley, Grisel Wiley Irrevocable Life Ins. Trust, Jerry Wiley Irrevocable Life Ins Trust, The Grisel Wiley Living Trust
Claimant Lawyers(s): John J. Miller
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Sherry L. Robinson, John R. Loss, Michael J. Hunter
Hearing Site: Kansas City, MO
| | $0 |
| 09-06212 | 06/17/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Jason Peroni
Respondent Lawyers(s): Jason M Peroni
Arbitrator(s): Arnold M. Marrow, Sandor I. Rabkin, Jane Venckus Zirlis
Hearing Site: Manchester, NH
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| 09-06154 | 03/24/2011 | Claimant(s): Kevin Afnan
Claimant Lawyers(s): Andrew A. Kabat
Respondent(s): Ameriprise Advisor Services., Ameriprise Financial Services.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Bert S Cliff, Ellen Holland Keller, Robert M Lustig
Hearing Site: Cleveland, OH
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