| 14-00194 | 08/22/2014 | Claimant(s): James Nagengast, Kevin Miller
Claimant Lawyers(s): Elaine M. Rice
Respondent(s): Securities America.
Respondent Lawyers(s): Carmen Brun
Arbitrator(s): Robert G. Scott, Thomas J. Pleiss, Verne R. Gray
Hearing Site: Omaha, NE
| | |
| 13-03781 | 07/30/2014 | Claimant(s): James Nagengast
Claimant Lawyers(s): Elaine M. Rice
Respondent(s): Securities America.
Respondent Lawyers(s): Carmen Brun
Arbitrator(s): Mark S. Foster, Henry R. Cox, Hollie M. Mason
Hearing Site: Omaha, NE
| | |
| 12-03509 | 05/03/2013 | Claimant(s): James Nagengast, Kevin Miller
Claimant Lawyers(s): Elaine M. Rice
Respondent(s): Securities America.
Respondent Lawyers(s): Bryan M. Ward
Arbitrator(s): Thomas J. Pleiss, Verne R. Gray, John R. Loss
Hearing Site: Omaha, NE
| | |
| 10-05119 | 09/11/2012 | Claimant(s): Estate of Richard Greenfield, Anna Greenfield Trust
Claimant Lawyers(s): Anthony J. Hartman
Respondent(s): Bradley Schlang, David Spinar, Debra Hansen, Dennis King, Douglas Fehr, James Heeney, James Nagengast, Jay Idt, Securities America., Kevin Miller, Lamar Jones, Michael Perlmuter, Pamela Wertheim, Randy Schneider, Scott Cross, Scott Hoyt, Steven Mcwhorter, W. Cross, Securities America Advisors.
Respondent Lawyers(s): Burton W. Wiand, Gregory S. Kaufman
Arbitrator(s): Robert G. Conway, Gregory P. Szuter, Leroy Burton Parks
Hearing Site: Cleveland, OH
|  | Expungement |
| 09-06706 | 04/05/2012 | Claimant(s): Monica Boniadi, Robert Boniadi
Claimant Lawyers(s): Erwin J. Shustak
Respondent(s): David Vaughan, Debra Hansen, Donald Froude, Doreen Griffith, Gayle Parsons, Gregg Johnson, Ameriprise Financial Services., James Heeney, James Nagengast, Securities America., Kevin Miller, Kirk Hulett, Lamar Jones, Leon Johnson, Pamela Wertheim, Paul Huerter, Paul Lofties, Steven Mcwhorter, Terrance Dewald, Theresa James, et al
Respondent Lawyers(s): Bruce M. Bettigole, Bryan M. Ward, Burton W. Wiand, Gregory S. Kaufman
Arbitrator(s): Lester G. Stiel, Thomas J. Doherty, Mary Elizabeth Geerdes
Hearing Site: San Diego, CA
| | Expungement |
