15-00974 | 04/14/2016 | Claimant(s): Donna Johnson IRA Claimant Lawyers(s): T. John Kirk Respondent(s): LPL Financial LLC Respondent Lawyers(s): Autumn Crowell Arbitrator(s): Ronald L. Cameron Hearing Site: Los Angeles, CA
| | Expungement |
14-03008 | 07/17/2015 | Claimant(s): Erin Tessman, Harold Tessman Claimant Lawyers(s): T. John Kirk Respondent(s): Lincoln Financial Advisors Corporation Respondent Lawyers(s): Eric A. Michaels Arbitrator(s): J. Maxwell Williams, Carolyn L. Witherspoon, Joan M. Esserman Hearing Site: Little Rock, AR
| | $0 |
14-03560 | 04/17/2015 | Claimant(s): Sandra Britton on behalf of her IRA Claimant Lawyers(s): T. John Kirk Respondent(s): First Financial Equity Corporation Respondent Lawyers(s): Brian J. Palmer Arbitrator(s): George W. Harding Hearing Site: Phoenix, AZ
| | Dismissed by Rule 12206 |
13-02888 | 03/25/2015 | Claimant(s): Leslie Kraynak, Robert Kraynak, Leslie A. Kraynak IRA, Robert C. Kraynak IRA Claimant Lawyers(s): T. John Kirk Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Gordon C. Young Arbitrator(s): Mark S. Priver, Steven A. Wawra, Anita Rae Shapiro Hearing Site: Los Angeles, CA
| | $0 |
14-01717 | 12/19/2014 | Claimant(s): Arlene Tesch, Kathleen Johnson Claimant Lawyers(s): T. John Kirk Respondent(s): Geneos Wealth Management. Respondent Lawyers(s): Jodee Brubaker-Rager Arbitrator(s): Jack D. Elmquist Hearing Site: Minneapolis, MN
| | Dismissed by Rule 12206 |
13-03696 | 08/20/2014 | Claimant(s): Debra Malone IRA Claimant Lawyers(s): T. John Kirk Respondent(s): Securities America. Respondent Lawyers(s): Joel Wertman Arbitrator(s): Steven M. Bialick Hearing Site: Minneapolis, MN
| | $11,496 |
13-03439 | 06/02/2014 | Claimant(s): Patrick Cottrell Claimant Lawyers(s): T. John Kirk Respondent(s): Pruco Securities. Respondent Lawyers(s): Brian H. Oates Arbitrator(s): Stuart D. Summers Hearing Site: Indianapolis, IN
| | $17,942 |
13-00982 | 01/14/2014 | Claimant(s): Dorothy Allan's IRA Claimant Lawyers(s): T. John Kirk Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Geddes D. Anderson Arbitrator(s): Steven Ira Weinberger Hearing Site: Boca Raton, FL
| | $11,408 |
13-00803 | 10/10/2013 | Claimant(s): Cynthia Lowe IRA, W.E. Lowe II IRA, W.E. Lowe II & William P Lowe T.I.C Claimant Lawyers(s): T. John Kirk Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Susan E. Sheely Arbitrator(s): Robert T. Allen Hearing Site: Columbia, SC
| | $240 |
13-00829 | 08/29/2013 | Claimant(s): Fred Bauries IRA Claimant Lawyers(s): T. John Kirk Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Susan E. Sheely Arbitrator(s): Julian F. Santos Hearing Site: New York, NY
| | $25,518 |