| 18-01112 | 12/31/2018 | Claimant(s): Stephen Swensen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Corporate Office
Arbitrator(s): Merton E. Marks
Hearing Site: Salt Lake City, UT
| | |
| 17-01206 | 12/10/2018 | Claimant(s): Ricky Vanzant
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Mary E. Woytek, James A. Hayes, James F. Major
Hearing Site: Charlotte, NC
|  | $550,000 |
| 18-01194 | 11/15/2018 | Claimant(s): Kevin Gildner, Shawn Derrick, Commonwealth Financial Network
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Invest Financial Corporation
Respondent Lawyers(s): Kate E. DiGeronimo
Arbitrator(s): Jeffry M. Bauer, Michael P. Hennigan, Clifford C. Rohde
Hearing Site: Buffalo, NY
| | |
| 17-01207 | 11/12/2018 | Claimant(s): Kathy Walters
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Richard E. Miley, Dwane Edward Vickstrom, Richard Francis Kane
Hearing Site: Charlotte, NC
| | $129,058 |
| 17-01205 | 10/30/2018 | Claimant(s): Robert Cline
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Peter B. King
Arbitrator(s): James A. Hayes, Harry G. Mason, David F. Simon
Hearing Site: Charlotte, NC
| | $127,925 |
| 17-02152 | 10/17/2018 | Claimant(s): Antonia Barone
Claimant Lawyers(s): Joanne A Schultz
Respondent(s): James Haskins, Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Michael A. Orticelle, Steven C. Kempisty, L. Paul Kehoe
Hearing Site: Buffalo, NY
| | $0 |
| 17-02935 | 05/03/2018 | Claimant(s): Rebecca Kennell
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter Wheeler
Arbitrator(s): W. Michael Kelley
Hearing Site: Phoenix, AZ
| | |
| 16-01496 | 11/10/2017 | Claimant(s): Estate of Michael Williams
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jaimeson
Arbitrator(s): Tina E. Patterson, James Michael Belk, Frank V. Tutone
Hearing Site: Charlotte, NC
| | $600 |
| 15-02033 | 04/25/2017 | Claimant(s): Steven Hedrick
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Robert H. Putnam, Michael E. Weddington
Hearing Site: Raleigh, NC
| | Expungement |
| 15-02397 | 05/09/2016 | Claimant(s): David Smith
Claimant Lawyers(s): David Neuman
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Alexander J. Nassar
Arbitrator(s): Jim Geiger, Robert M. Singer, Patrick Leo Kennedy
Hearing Site: Hartford, CT
| | Dismissed by Rule 12206 |
