| 16-03384 | 06/20/2017 | Claimant(s): Brenda Anderson, John Anderson
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Jerry McCutchen, Berthel, Fisher & Company Financial Serv, Next Financial Group.
Respondent Lawyers(s): Mickey B. Wright
Arbitrator(s): Harvey R. Linder, Mary Elizabeth Skelnik, Joseph Neal Richardson
Hearing Site: Birmingham, AL
|  | Dismissed by Rule 12206 |
| 15-00762 | 10/13/2016 | Claimant(s): Tokena Corporation
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Next Financial Group.
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Robert Titus, Shari B. Broder, Richard E. Castiglioni
Hearing Site: Manchester, NH
| | Expungement |
| 15-01909 | 03/18/2016 | Claimant(s): Jerome Grohovsky, Naomi Grohovsky, JPG & Associates.
Claimant Lawyers(s): Joshua Kons
Respondent(s): Sagepoint Financial., Next Financial Group.
Respondent Lawyers(s): Debra L. Weiss, Greg Curley
Arbitrator(s): Ray J. Grzebielski, Lavon C. Phillips, Jerome B. Simon
Hearing Site: Minneapolis, MN
| | Dismissed by Rule 12206 |
| 15-01680 | 02/08/2016 | Claimant(s): Mark Hennings
Claimant Lawyers(s): Stephanie Habelow
Respondent(s): Kevin Murphy, Next Financial Group., Visionary Asset Management.
Respondent Lawyers(s): John T. Unger
Arbitrator(s): Julian F. Santos
Hearing Site: Wilmington, DE
| | $300 |
| 15-01406 | 12/11/2015 | Claimant(s): Kathleen Rock
Claimant Lawyers(s): Kathleen A. Rock
Respondent(s): Next Financial Group.
Respondent Lawyers(s): Lisa Serra
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
| | $300 |
| 13-02616 | 11/25/2014 | Claimant(s): Allen Nelson, Susan Nelson, Nelson Realty North Corp. LLC, One Live Oak 4
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Charles Kulch, Next Financial Group.
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Robert Titus, Edward Joseph Boudreau, Peter Andrew Marx
Hearing Site: Manchester, NH
| | Expungement |
| 13-03334 | 07/29/2014 | Claimant(s): Estate of Dudley D. Martens
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Jerry McCutchen, Next Financial Group.
Respondent Lawyers(s): William F. Ray
Arbitrator(s): R. Lee Britton Jr., Lynne R. Stern, Daniel Patrick Hurley
Hearing Site: New Orleans, LA
| | Dismissed by Rule 12206 |
| 12-04045 | 03/27/2014 | Claimant(s): Andrew L. & Sharon M. Rosenberg, White Mountain Sports 401k Plan
Claimant Lawyers(s): Sharon M. Rosenberg
Respondent(s): R. Lawrence, Next Financial Group.
Respondent Lawyers(s): Gary Klein
Arbitrator(s): Randy R. Freedman
Hearing Site: Boca Raton, FL
| | $15,311 |
| 12-03630 | 11/26/2013 | Claimant(s): The Estate of Irwin Berlin, M.D.
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Carole Kitrosser, Next Financial Group.
Respondent Lawyers(s): Michael J. Devereaux, Miles D. Hart
Arbitrator(s): Kip C. Lubcke, Robert S. Getman, Steven Hale Zousmer
Hearing Site: New York, NY
| | Expungement |
| 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 |
