| 23-00534 | 09/30/2024 | Claimant(s): Robert Thomas
Claimant Lawyers(s): Michael Bessette
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Gregg J. Brietbart
Arbitrator(s): Frederick W. Keuthen, Robert L. Chase, John James McGovern
Hearing Site: Augusta, ME
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| 23-02866 | 06/04/2024 | Claimant(s): Paul Nitz
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Judith Knudsen
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 23-00790 | 01/24/2024 | Claimant(s): John Turner
Claimant Lawyers(s): John Hitchings
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Judith Knudsen
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 22-02253 | 11/20/2023 | Claimant(s): Brian Stephens
Claimant Lawyers(s): Gary S. Kessler
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Judith Knudsen
Arbitrator(s): Michael Edward Watts, Robert C. Rice, Kevin Colby
Hearing Site: Houston, TX
| | |
| 23-00578 | 11/17/2023 | Claimant(s): Tim Tompkins
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Emily M. Knight
Arbitrator(s): Kenneth R. Starr, Danny Lynn Ingram, Karen Bonnie Biggs
Hearing Site: Raleigh, NC
|  | Dismissed by Rule 12206(b) |
| 22-02982 | 06/28/2023 | Claimant(s): Steven Buchanan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Judith Knudsen
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | |
| 22-00549 | 12/20/2022 | Claimant(s): Dennis Nakamura, Rurie Nakamura, The Rurie Nakamura Rollover IRA, 1994 Akira & Rurie Nakamura Family Trust, The Akira Nakamura Bypass Trust, The Rurie Nakamura Marital Trust
Claimant Lawyers(s): Dennis M. Nakamura
Respondent(s): Kevin McGregor, Avantax Advisory Services., Avantax Investment Services., Avantax Wealth Management., H.D. Vest Advisory Services Inc.
Respondent Lawyers(s): Natalie P. Vance
Arbitrator(s): James R. Dickson, Shawn Ridgell, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
| | $0 |
| 21-02711 | 07/19/2022 | Claimant(s): Charles Fischer
Claimant Lawyers(s): Harris Freedman
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Judith Knudsen
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | |
| 20-03029 | 07/16/2021 | Claimant(s): Troy Chesnut
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Judith Knudsen
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
| | |
| 20-02995 | 07/06/2021 | Claimant(s): Bin Zhai
Claimant Lawyers(s): Chelsea Masters
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Judith Knudsen
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
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