| 12-04045 | 03/27/2014 | Claimant(s): Andrew L. & Sharon M. Rosenberg, White Mountain Sports 401k Plan
Claimant Lawyers(s): Sharon M. Rosenberg
Respondent(s): R. Lawrence, Next Financial Group.
Respondent Lawyers(s): Gary Klein
Arbitrator(s): Randy R. Freedman
Hearing Site: Boca Raton, FL
|  | $15,311 |
| 13-01230 | 11/29/2013 | Claimant(s): NEXT Financial Group.
Claimant Lawyers(s): Gary Klein
Respondent(s): Christopher Ordway
Respondent Lawyers(s): Christopher Edward Ordway
Arbitrator(s): Richard D. Fincher
Hearing Site: Phoenix, AZ
| | |
| 12-03963 | 09/11/2013 | Claimant(s): Next Financial Group.
Claimant Lawyers(s): Gary Klein
Respondent(s): Michael Kolacz
Respondent Lawyers(s): Michael D. Kolacz
Arbitrator(s): William E. Hartsfield
Hearing Site: Dallas, TX
| | |
| 07-00945 | 10/15/2009 | Claimant(s): Leslie Cox-Colon
Claimant Lawyers(s): Gary Klein
Respondent(s): Citigroup Global Markets., Juan Colon-Collazo, Loretta Chiofolo
Respondent Lawyers(s): Edward N. Lerner, William A. Hohauser
Arbitrator(s): Edward G. Toptani, Charles L. Henderson, Laurence D. Rose
Hearing Site: New York, NY
| | $273,717 |
