| 22-02398 | 05/21/2024 | Claimant(s): Roger Martyna
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): William J. Bender, Al Van Kampen, Frederick Allan Kaseburg
Hearing Site: Seattle, WA
|  | $0 |
| 22-02086 | 08/10/2023 | Claimant(s): Ryan Jensen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Equity Services.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Stephany Adriene Watson
Hearing Site: Portland, OR
| | |
| 22-00519 | 05/18/2023 | Claimant(s): Michael Herman
Claimant Lawyers(s): Martin M. Berliner
Respondent(s): Securities America., Hunter Wyckoff, Matthew Cloutier, Michael Baum, Mutual of Omaha Investor Services.
Respondent Lawyers(s): Derek C. Anderson, Gregory M. Curley, Martin M. Berliner, Trenten P. Bausch
Arbitrator(s): Steven M. Feder, Mary C. Davis, K. Bruce Lang
Hearing Site: Denver, CO
| | |
| 22-01326 | 02/28/2023 | Claimant(s): Scott Kaup
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): VSR Financial Services.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Steven Meyrich, William (Bill) H. O'Donnell, Richard Djokic
Hearing Site: Omaha, NE
| | |
| 21-02408 | 07/07/2022 | Claimant(s): Jim Lund
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Concorde Investment Services
Respondent Lawyers(s): Bryan Ward
Arbitrator(s): Sandra L. Malek
Hearing Site: Los Angeles, CA
| | |
| 21-02200 | 04/14/2022 | Claimant(s): Keys Tinney
Claimant Lawyers(s): Harris Freedman
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Denver, CO
| | |
| 20-02375 | 04/08/2022 | Claimant(s): Scott Brady
Claimant Lawyers(s): Melinda Jane Steuer
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Elwood C. Avery, James H. Fehlberg, Philip Alan Johnson
Hearing Site: Portland, OR
| | |
| 21-00484 | 10/27/2021 | Claimant(s): Eddie Ghabour
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Equity Services.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Robert E. Anderson
Hearing Site: Wilmington, DE
| | |
| 20-04158 | 10/26/2021 | Claimant(s): Diedre Conover, Mark Conover, Diedre Conover IRA, Mark Conover IRA
Claimant Lawyers(s): Kirk Smith
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Langdon T. Owen, Rick L. Knuth, Thomas R. Bromberg
Hearing Site: Salt Lake City, UT
| | Dismissed by Rule 12206 |
| 19-02152 | 09/30/2021 | Claimant(s): David M. Bush and Lesly S. Bush
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Mid Atlantic Capital Corporation
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Alden Sharp Adkins, Gary Kostow, Robert James Favole
Hearing Site: San Francisco, CA
| | $240,562 |
