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FINRA Awards for The O.N. Equity Sales Company

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0185411/14/2018Claimant(s): Richard Wesselt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): The O.N. Equity Sales Company
Respondent Lawyers(s): Mark E. Elsener
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Philadelphia, PA
16-0315908/25/2017Claimant(s): Jeffrey Thoele
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Next Financial Group., The O.N. Equity Sales Company, Walnut Street Securities.
Respondent Lawyers(s): Jeremy Carr, John Unger, Mark E. Elsener
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
12-0323110/18/2013Claimant(s): Kevin Kane
Claimant Lawyers(s): Neil D. Petkovic
Respondent(s): The O.N. Equity Sales Company
Respondent Lawyers(s): Marion H. Little
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
Checkmark Icon$25,000

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