| 08-00835 | 04/01/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Mathew Dailey
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Bonny Kathleen Riggs, Michael J. Busch, Laurie E. Law
Hearing Site: Seattle, WA
| | |
| 09-00796 | 12/21/2009 | Claimant(s): Estate of Peter W. Roslund
Claimant Lawyers(s): David C. Berman
Respondent(s): J.P. Morgan Securities, Stephen Gabriel
Respondent Lawyers(s): Eugene L. Small, Ronald P. Kane
Arbitrator(s): Leonard E. Benade, W. Wells Van Pelt, John R. Morris
Hearing Site: Charlotte, NC
|  | Stipulated Award and Expungement |
| 09-00550 | 11/11/2009 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): William Stroup
Respondent Lawyers(s): William Clayton Stroup
Arbitrator(s): Frank F. Foys, Robert B. Schmidt, Suanne F. Goldman
Hearing Site: Chicago, IL
| | |
| 07-02582 | 08/26/2009 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Eun-Joo Chang
Respondent Lawyers(s): Ekwan E. Rhow
Arbitrator(s): Alexander L. Mazour, Carol Ann Jensen, Daniel M. Yamshon
Hearing Site: San Francisco, CA
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| 08-00523 | 08/13/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Robert Martin
Respondent Lawyers(s): Robert Martin
Arbitrator(s): Thomas Caiaffa, Jeffrey Steinberg, John W. Thomas
Hearing Site: Newark, NJ
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| 08-02414 | 06/05/2009 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Donald Dormody
Respondent Lawyers(s): Timothy J. Koral
Arbitrator(s): Peter L. Pointer, Steven L. Wasserman, Jeffrey V. Gery
Hearing Site: Cleveland, OH
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| 08-00453 | 04/16/2009 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): William Winston
Respondent Lawyers(s): Ethan Chernin
Arbitrator(s): Robert S. Fash, Kenneth I. Rosenblum, Ronald E. Ogden
Hearing Site: Los Angeles, CA
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| 06-03052 | 03/02/2009 | Claimant(s): Lawrence Adelman
Claimant Lawyers(s): Andrew A. Kabat
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): James A. Laurenson, Mitchell B. Goldberg, Blanca E. Ortiz
Hearing Site: Cleveland, OH
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| 07-01487 | 08/04/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Arthur Castro
Respondent Lawyers(s): David L. Casterline
Arbitrator(s): Bert Levy, Basil Lewis, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
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| 06-01645 | 07/09/2008 | Claimant(s): Gail Wasserman, Wexler Meat Co. Profit Sharing Trust
Claimant Lawyers(s): Elliot M. Samuels
Respondent(s): Barry Rosenberg, Mesirow Financial.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Jeffrey W. Finke, Robert B. Schmidt, Nicolaus Bruns
Hearing Site: Chicago, IL
| | $0 |
