15-00734 | 04/18/2019 | Claimant(s): Gerald M. Butler, Jr. Family Trust, Jr. Marital Trust Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): National Securities Corporation, National Asset Management Respondent Lawyers(s): Fred N. Knopf Arbitrator(s): Marc Kalish, Kevin Edward Anthony, John P. Kelly Hearing Site: Salt Lake City, UT
| | $1,145,240 |
17-03016 | 08/24/2018 | Claimant(s): Gary Grenley, Gary Grenley IRA Account Claimant Lawyers(s): Gary I. Grenley Respondent(s): National Securities Corporation, Tuan (Peter) Phan Respondent Lawyers(s): Fred N. Knopf Arbitrator(s): Peter H. Daly, Francis Vincent Dane, Lawrence William Andrews Hearing Site: Portland, OR
| | $0 |
11-03793 | 10/16/2013 | Claimant(s): Marise Engel, Richard Engel, Richard J. and Marise A. Engel Claimant Lawyers(s): Richard Engel Respondent(s): Brion Collins, Gary Tsoumas, Jack Kapinus, Todd Sivak, MML Investors Services Respondent Lawyers(s): Beth A. Dodson, Fred N. Knopf, Patrick J. Lubenow, Ross A. Anderson Arbitrator(s): Herbert H. Neuer, Terry F. Peppard, James Richard Carlson Hearing Site: Milwaukee, WI
| | $0 |
11-03618 | 07/08/2013 | Claimant(s): Sandra Meisenzahl, Leonard B. Meisenzahl Trust, Sandra Meisenzahl Revocable Living Trust Claimant Lawyers(s): W. Scott Turnbull Respondent(s): Gerald Fasanella, Mutual Service Corporation, AIG Financial Advisors., Next Financial Group. Respondent Lawyers(s): Craig A. Vollono, Fred N. Knopf, Marc S. Dobin, Peter B. King Arbitrator(s): Steven Gerard Goerke, William Kent Brown, Lee Alan Rosenblum Hearing Site: Boca Raton, FL
| | Expungement |
10-04079 | 12/06/2012 | Claimant(s): Edward Pozan, Judith Pozan Claimant Lawyers(s): Joseph H. Spiegel Respondent(s): John Sykes, Kirk Kubach, Louis Wright, Mary Kennemur, Paul Chuzi, Paul Richardson, GAH Holdings, JHS Capital Advisors., Pointe Capital. Respondent Lawyers(s): Donald J. Gunn, Fred N. Knopf, Joseph D. Edmondson Arbitrator(s): Robert J. Scafuri, Andrew J. Vorbrich, Melody Ann Werner Hearing Site: Detroit, MI
| | $0 |
10-04782 | 05/08/2012 | Claimant(s): Roger Loria, Winifred Loria, Dr. Roger Loria IRA, Mrs. Winifred Loria IRA, Immunitas. Retirement Plan Claimant Lawyers(s): Anne W. Larkin Respondent(s): Arnold Dorman, Elmer Bullis, Next Financial Group. Respondent Lawyers(s): Fred N. Knopf Arbitrator(s): Donald B. Vaden, JoAnne Lewis Nolte, Margaret Verdery Little Hearing Site: Richmond, VA
| | $225,000 |