| 24-00811 | 11/20/2024 | Claimant(s): Chad Harman
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Chelsea Financial Services
Respondent Lawyers(s): Michael Utilla
Arbitrator(s): Tina Alison Davis, William G Brown, Richard Shane Geist
Hearing Site: Wichita, KS
|  | Dismissed by Rule 12206 |
| 23-02687 | 04/24/2024 | Claimant(s): Connor Aronis
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Michael J Norton
Hearing Site: Wichita, KS
| | |
| 23-02152 | 11/01/2023 | Claimant(s): Sean Spencer, Access Capital
Claimant Lawyers(s): John Vaughn
Respondent(s): IMA Wealth
Respondent Lawyers(s): Clayton J. Kaiser
Arbitrator(s): John W. Jones, Leonard M. Goldstein, Tara A. LaClair
Hearing Site: Wichita, KS
| | |
| 22-02981 | 07/20/2023 | Claimant(s): Donald Barry
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jason Kempf
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Wichita, KS
| | |
| 22-00830 | 06/22/2023 | Claimant(s): Donald Baxter
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FFP Securities., Primeline Securities Corp., SII Investments.
Respondent Lawyers(s): Eric A. Michaels, Fred F. Liebau, Jeremy Wooden
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Wichita, KS
| | |
| 19-01855 | 01/28/2022 | Claimant(s): David Frost
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Kevin Wilson, Laidlaw & Company (UK) Ltd.
Respondent Lawyers(s): Kevin Richard Wilson, Richard J. Babnick
Arbitrator(s): Ilene T. Gormly, Robert J. Carlson, Joseph Neal Richardson
Hearing Site: Wichita, KS
| | $0 |
| 19-01199 | 01/26/2022 | Claimant(s): Pamela A. Frost IRA
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Kevin Wilson, Laidlaw & Company (Uk) Ltd.
Respondent Lawyers(s): Kevin Richard Wilson, Richard J. Babnick
Arbitrator(s): Kelley L Cornelius, Ilene T. Gormly, Lawrence R. Maxwell
Hearing Site: Wichita, KS
| | $60,205 |
| 20-02514 | 05/10/2021 | Claimant(s): Brian Palkowitsh
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Transamerica Financial Advisors, Transamerica Financial Advisors.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Wichita, KS
| | |
| 20-01355 | 11/24/2020 | Claimant(s): Mike Spencer
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Charles G. Michaels
Hearing Site: Wichita, KS
| | |
| 20-01365 | 10/29/2020 | Claimant(s): Jeffrey Breault
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Richard A. D' Amura
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Wichita, KS
| | |
