| 18-04203 | 06/04/2020 | Claimant(s): Rick McKinney, RDRJ
Claimant Lawyers(s): Joseph H. Bocock
Respondent(s): National Securities Corporation, Stuart Updegrove
Respondent Lawyers(s): Fred Knopf
Arbitrator(s): James A. Parker, Stephen James Cavanaugh, G. Dennis Sheehan
Hearing Site: Houston, TX
|  | $0 |
| 18-03369 | 03/16/2020 | Claimant(s): Thomas Mayberry
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): John B. Orenstein, Steven M. Bialick, Lindsay Keller
Hearing Site: Minneapolis, MN
| | $0 |
| 16-02863 | 05/17/2019 | Claimant(s): Mark E. Viator IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Raymond C. Kerr, David C. Redford, Allan R. Lazor
Hearing Site: Houston, TX
| | $0 |
| 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 |
| 18-00122 | 04/10/2019 | Claimant(s): Paula Tyler, Trustee Tyler Family Trust
Claimant Lawyers(s): Joseph S. Schuchert
Respondent(s): National Securities Corporation, Folio Investments.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Mary M. O'Neil, Earl Robert Jordan, Bonnie Chavez
Hearing Site: Los Angeles, CA
| | $0 |
| 17-00554 | 12/11/2018 | Claimant(s): Muhammad Munir, Uzma Munir, Muhammad Munir SEP IRA, Muhammad and Uzma Munir
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Lita S Menkin, Jack A. Helms, John Winslow Griesser
Hearing Site: Nashville, TN
| | Expungement |
| 17-01734 | 12/11/2018 | Claimant(s): Bruce Hink
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Benjamin Biard
Arbitrator(s): Donald Glen Russell, Raymond P. Buschmann, Michael Charles Peek
Hearing Site: Indianapolis, IN
| | Expungement |
| 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 |
| 16-00767 | 04/05/2018 | Claimant(s): Kirk Hoffman
Claimant Lawyers(s): James Malachy Meaney
Respondent(s): Dieter Huber, National Securities Corporation, Kay Johnson, Kieran Loughran, Mark Goldwasser
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): Steven H. Vogel, Stephen W. Mack, Frank A. Dusek
Hearing Site: Chicago, IL
| | Expungement |
| 16-01564 | 06/26/2017 | Claimant(s): Daniel Oleary, Jennifer Oleary, Patrick Oleary, Sandra Oleary
Claimant Lawyers(s): Daniel Gwertzman
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Renan I. Sugarman
Arbitrator(s): Mark L Miller, Robert S. Sugarman, Raymond P. Buschmann
Hearing Site: Chicago, IL
| | $0 |
