| 20-01625 | 10/17/2023 | Claimant(s): Prakash Shukla
Claimant Lawyers(s): Michael J. Sullivan
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jason A. Kempf
Arbitrator(s): Stephen M. Acerra, Denise L. Presley, Jeremy M. Bloomenthal
Hearing Site: Boston, MA
|  | Expungement |
| 19-00028 | 04/28/2020 | Claimant(s): Susan Grcevich
Claimant Lawyers(s): Carter S. Plotkin
Respondent(s): Wells Fargo Clearing Services, Philip Farese
Respondent Lawyers(s): Jason A. Kempf
Arbitrator(s): William M. Getzoff, Daniel R. Formeller, Lee H. Goodman
Hearing Site: Chicago, IL
| | Expungement |
| 17-02420 | 01/07/2020 | Claimant(s): Sandra Alford, Sandra C. Alford Revocable Living Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Jason A. Kempf
Arbitrator(s): Philip J. Glick, Albert J. Haller, Joshua Eric Lubatkin
Hearing Site: St. Louis, MO
| | $2,629,270 |
| 19-00319 | 08/26/2019 | Claimant(s): Kevin Engbers
Claimant Lawyers(s): Matthew E. Wolper
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Jason A. Kempf
Arbitrator(s): Susan L. Walker
Hearing Site: Omaha, NE
| | |
| 17-00309 | 09/12/2017 | Claimant(s): Chad Staskall
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Jason A. Kempf
Arbitrator(s): Dean J. Dietrich
Hearing Site: Portland, OR
| | |
| 16-01294 | 07/11/2017 | Claimant(s): Jane Snyder
Claimant Lawyers(s): Jane C. Snyder
Respondent(s): John Horseman
Respondent Lawyers(s): Jason A. Kempf
Arbitrator(s): Michael L. Lyons, Anthony J. Soukenik, Frederick Michael Switzer
Hearing Site: St. Louis, MO
| | $0 |
