| 23-03050 | 05/06/2024 | Claimant(s): Gary Glockzin
Claimant Lawyers(s): Zachary S. Knoblock
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Jonathan L. French
Arbitrator(s): Charles G. Michaels, Mary Margaret Bush, Howard N. Gorney
Hearing Site: San Diego, CA
| | |
| 23-01442 | 02/16/2024 | Claimant(s): Nathaniel Crowther
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securian Financial Services.
Respondent Lawyers(s): Beth Grover Wiederholt
Arbitrator(s): Charles G. Michaels
Hearing Site: Salt Lake City, UT
| | |
| 23-01786 | 02/05/2024 | Claimant(s): Sean Westbrook
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | |
| 23-01426 | 01/29/2024 | Claimant(s): Justin Widick
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Financial West Group
Respondent Lawyers(s): Gene Valentine, CEO
Arbitrator(s): Charles G. Michaels
Hearing Site: Omaha, NE
| | |
| 23-00255 | 10/02/2023 | Claimant(s): Landon Troyer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Jenny Yuan
Arbitrator(s): Charles G. Michaels
Hearing Site: Omaha, NE
| | |
| 23-01149 | 08/25/2023 | Claimant(s): Erik Utzinger
Claimant Lawyers(s): Erik Douglas Utzinger
Respondent(s): World Group Securities.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | |
| 19-02577 | 08/10/2023 | Claimant(s): K&S Trust
Claimant Lawyers(s): Gary Menzer
Respondent(s): Daniel Lempe, Presidential Brokerage.
Respondent Lawyers(s): Gary Nemer, Scott Holcomb
Arbitrator(s): Charles G. Michaels, Mary C. Davis, Nicole Green
Hearing Site: Denver, CO
|  | $0 |
| 22-02627 | 08/07/2023 | Claimant(s): Kirby McDonald
Claimant Lawyers(s): Jessica E. Levine
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Smitham
Arbitrator(s): Charles G. Michaels
Hearing Site: Omaha, NE
| | |
| 23-00608 | 08/07/2023 | Claimant(s): Michael Trotter
Claimant Lawyers(s): Kevin P. Krupnick
Respondent(s): John Lowry, John Winter, Kenneth Casey, Kim Monchik, Louis Ward, Spartan Capital Securities
Respondent Lawyers(s): David A. Schrader, John Michael Winter, Kenneth Francis Casey
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | $0 |
| 21-02625 | 05/30/2023 | Claimant(s): Jeanette Long
Claimant Lawyers(s): Michael Melito
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Charles G. Michaels, Rey Hernandez Julian, Kimberly Johnson
Hearing Site: Denver, CO
| | Expungement |
