| 23-00578 | 11/17/2023 | Claimant(s): Tim Tompkins
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Emily M. Knight
Arbitrator(s): Kenneth R. Starr, Danny Lynn Ingram, Karen Bonnie Biggs
Hearing Site: Raleigh, NC
|  | Dismissed by Rule 12206(b) |
| 22-00549 | 12/20/2022 | Claimant(s): Dennis Nakamura, Rurie Nakamura, The Rurie Nakamura Rollover IRA, 1994 Akira & Rurie Nakamura Family Trust, The Akira Nakamura Bypass Trust, The Rurie Nakamura Marital Trust
Claimant Lawyers(s): Dennis M. Nakamura
Respondent(s): Kevin McGregor, Avantax Advisory Services., Avantax Investment Services., Avantax Wealth Management., H.D. Vest Advisory Services Inc.
Respondent Lawyers(s): Natalie P. Vance
Arbitrator(s): James R. Dickson, Shawn Ridgell, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
| | $0 |
| 18-00366 | 07/20/2020 | Claimant(s): Cendrowski Selecky Professional Corp
Claimant Lawyers(s): Jessica Lynn Dagley
Respondent(s): Brent Kalka, David Nissen, Avantax Investment Services.
Respondent Lawyers(s): Nancy L. Hendrickson
Arbitrator(s): Lynn Hirschfeld Brahin, Susan L. Walker, Walter Patrick Giblin
Hearing Site: Chicago, IL
| | $0 |
