| 22-02398 | 05/21/2024 | Claimant(s): Roger Martyna
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): William J. Bender, Al Van Kampen, Frederick Allan Kaseburg
Hearing Site: Seattle, WA
|  | $0 |
| 20-04158 | 10/26/2021 | Claimant(s): Diedre Conover, Mark Conover, Diedre Conover IRA, Mark Conover IRA
Claimant Lawyers(s): Kirk Smith
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Langdon T. Owen, Rick L. Knuth, Thomas R. Bromberg
Hearing Site: Salt Lake City, UT
| | Dismissed by Rule 12206 |
| 19-02152 | 09/30/2021 | Claimant(s): David M. Bush and Lesly S. Bush
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Mid Atlantic Capital Corporation
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Alden Sharp Adkins, Gary Kostow, Robert James Favole
Hearing Site: San Francisco, CA
| | $240,562 |
| 18-02447 | 06/22/2021 | Claimant(s): Tupper Briggs
Claimant Lawyers(s): Jason J. Kane
Respondent(s): VSR Financial Services., Robert Burns, Summit Brokerage Services.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Steven Meyrich, Donald N. Tolin, Deanna M. Tuley
Hearing Site: Denver, CO
| | Expungement |
| 20-00193 | 06/14/2021 | Claimant(s): Gerellen Joneson
Claimant Lawyers(s): James N Thomaidis
Respondent(s): Mark Haenny, Matthew Hickey, First Allied Securities.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Steven Meyrich, Steven M. Feder, Mary C. Davis
Hearing Site: Denver, CO
| | Expungement |
| 18-02854 | 11/25/2020 | Claimant(s): Timothy Bussey, Bussey Law Firm, P.C., Bussey Law Firm 401K Profit Sharing Pla
Claimant Lawyers(s): James R. Miller
Respondent(s): Danny Holladay, Ian Ahrendsen, Michael Clark, MML Investors Services, Llc
Respondent Lawyers(s): Derek C. Anderson, Julie E. Ravis, Michael H. Clark
Arbitrator(s): Steven Meyrich, Thomas R. Bromberg, Andrew Barton
Hearing Site: Denver, CO
| | $0 |
| 18-03528 | 08/21/2020 | Claimant(s): James Harting Trust
Claimant Lawyers(s): James R. Harting
Respondent(s): Timothy Rice, First Allied Securities., Lakeside Wealth Management Group
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Charles Orlove, Leonard Arthur Nelson, Theresa A Gillerlain
Hearing Site: Chicago, IL
| | $0 |
| 19-00241 | 03/20/2020 | Claimant(s): Ruth Forester
Claimant Lawyers(s): Ruth Forester
Respondent(s): Randall Karl, Lucia Securities
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | $0 |
| 16-02577 | 03/15/2018 | Claimant(s): Joan Provost, John Provost, JJP Associates Profit Sharing Plan, Joan T. Provost Revocable Trust
Claimant Lawyers(s): Eric G. Benson
Respondent(s): Mitchell Simkins, Richard Miller, Mid-Atlantic Capital Corporation
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Steven Meyrich, Paul H. Lamboley, Edward Allan Hindman
Hearing Site: Salt Lake City, UT
| | Expungement |
| 14-00077 | 09/16/2015 | Claimant(s): Howard Skovlund, Sole Member of Gemini 442 W 36th St 26 L, Howard M. Skovlund Living Trust
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): American Portfolios Financial Services,
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Suzanne H Slick, Mauricio Kohn, Lee Hornberger
Hearing Site: Detroit, MI
| | Expungement |
