| 20-01348 | 12/17/2020 | Claimant(s): Andrew Butler
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, Woodbury Financial Services., Next Financial Group.
Respondent Lawyers(s): James V. Noblett, John T. Unger, Kelsey Vasko
Arbitrator(s): Eric Ross Cromartie
Hearing Site: Dallas, TX
| | |
| 20-01406 | 12/10/2020 | Claimant(s): Michael Lomas
Claimant Lawyers(s): Harry Meyer
Respondent(s): Next Financial Group.
Respondent Lawyers(s): John T. Unger
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Buffalo, NY
| | |
| 19-01509 | 01/09/2020 | Claimant(s): Gale Penn, Robert Penn
Claimant Lawyers(s): Gary Menzer
Respondent(s): Anthony Hobson, Next Financial Group.
Respondent Lawyers(s): David A. Baugh
Arbitrator(s): Mark L Miller, Steven M. Bierig, Raymond P. Buschmann
Hearing Site: Chicago, IL
|  | Dismissed by Rule 12206/12504 |
| 18-00501 | 10/23/2018 | Claimant(s): Jeffrey LaBelle
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Woodbury Financial Services., Next Financial Group.
Respondent Lawyers(s): Bradley A. Fishman, John T. Unger
Arbitrator(s): Edith N. Dinneen
Hearing Site: Tampa, FL
| | |
| 18-00966 | 10/23/2018 | Claimant(s): Andrew Adams
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Next Financial Group.
Respondent Lawyers(s): John T. Unger
Arbitrator(s): Stuart K. Furman
Hearing Site: Jackson, MS
| | |
| 18-01023 | 07/31/2018 | Claimant(s): Rydan Case
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Next Financial Group.
Respondent Lawyers(s): John T. Unger
Arbitrator(s): W. Michael Kelley
Hearing Site: Phoenix, AZ
| | |
| 17-00997 | 07/17/2018 | Claimant(s): John Williams
Claimant Lawyers(s): Ann K. Sullivan
Respondent(s): Mark Stanley, Michael Matthews, Next Financial Group.
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Robert H. Putnam, Gordon M. Wase, Donald B. Katz
Hearing Site: Norfolk, VA
| | $60,000 |
| 17-01803 | 04/09/2018 | Claimant(s): Bryan Kaarlsen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, Next Financial Group.
Respondent Lawyers(s): John T. Unger, Jon D. Kaplon
Arbitrator(s): Allan R. Lazor
Hearing Site: Houston, TX
| | |
| 17-00867 | 03/14/2018 | Claimant(s): Dirk Rabenold
Claimant Lawyers(s): Joshua F. Bautz
Respondent(s): Kerry Montgomery, Next Financial Group.
Respondent Lawyers(s): John T. Unger, Robert Rex
Arbitrator(s): Robert A. Sauerberg, Elena G. Rodriguez, Richard W. Epstein
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-03244 | 09/07/2017 | Claimant(s): Craig Ferrantino
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A.G. Edwards & Sons., Citigroup Global Markets., Next Financial Group.
Respondent Lawyers(s): Angela A. Turiano, David I. Hantman, John T. Unger
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
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