16-03159 | 08/25/2017 | Claimant(s): Jeffrey Thoele Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Next Financial Group., The O.N. Equity Sales Company, Walnut Street Securities. Respondent Lawyers(s): Jeremy Carr, John Unger, Mark E. Elsener Arbitrator(s): Brett W. Olander Hearing Site: Minneapolis, MN
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16-03096 | 08/22/2017 | Claimant(s): Stephen Dellelo Claimant Lawyers(s): Dochtor Kennedy Respondent(s): New England Securities, Next Financial Group. Respondent Lawyers(s): Eunice Jordan, John T. Unger Arbitrator(s): Colette Manoil Hearing Site: Boston, MA
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16-03384 | 06/20/2017 | Claimant(s): Brenda Anderson, John Anderson Claimant Lawyers(s): Richard S. Frankowski Respondent(s): Jerry McCutchen, Berthel, Fisher & Company Financial Serv, Next Financial Group. Respondent Lawyers(s): Mickey B. Wright Arbitrator(s): Harvey R. Linder, Mary Elizabeth Skelnik, Joseph Neal Richardson Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
16-00509 | 06/14/2017 | Claimant(s): Next Financial Group. Claimant Lawyers(s): Jack D. Ballard Respondent(s): Erryn Barkett Respondent Lawyers(s): Sean M. Golden Arbitrator(s): Christopher M. McMurray, Alison Wright Feehan, Peter B. Loewenberg Hearing Site: Richmond, VA
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15-00762 | 10/13/2016 | Claimant(s): Tokena Corporation Claimant Lawyers(s): Jonathan Kurta Respondent(s): Next Financial Group. Respondent Lawyers(s): David J. Freniere Arbitrator(s): Robert Titus, Shari B. Broder, Richard E. Castiglioni Hearing Site: Manchester, NH
| | Expungement |
15-01909 | 03/18/2016 | Claimant(s): Jerome Grohovsky, Naomi Grohovsky, JPG & Associates. Claimant Lawyers(s): Joshua Kons Respondent(s): Sagepoint Financial., Next Financial Group. Respondent Lawyers(s): Debra L. Weiss, Greg Curley Arbitrator(s): Ray J. Grzebielski, Lavon C. Phillips, Jerome B. Simon Hearing Site: Minneapolis, MN
| | Dismissed by Rule 12206 |
15-01680 | 02/08/2016 | Claimant(s): Mark Hennings Claimant Lawyers(s): Stephanie Habelow Respondent(s): Kevin Murphy, Next Financial Group., Visionary Asset Management. Respondent Lawyers(s): John T. Unger Arbitrator(s): Julian F. Santos Hearing Site: Wilmington, DE
| | $300 |
15-01406 | 12/11/2015 | Claimant(s): Kathleen Rock Claimant Lawyers(s): Kathleen A. Rock Respondent(s): Next Financial Group. Respondent Lawyers(s): Lisa Serra Arbitrator(s): Jeffry M. Bauer Hearing Site: Detroit, MI
| | $300 |
13-02616 | 11/25/2014 | Claimant(s): Allen Nelson, Susan Nelson, Nelson Realty North Corp. LLC, One Live Oak 4 Claimant Lawyers(s): Kalju Nekvasil Respondent(s): Charles Kulch, Next Financial Group. Respondent Lawyers(s): David J. Freniere Arbitrator(s): Robert Titus, Edward Joseph Boudreau, Peter Andrew Marx Hearing Site: Manchester, NH
| | Expungement |
13-03334 | 07/29/2014 | Claimant(s): Estate of Dudley D. Martens Claimant Lawyers(s): Christopher J. Gray Respondent(s): Jerry McCutchen, Next Financial Group. Respondent Lawyers(s): William F. Ray Arbitrator(s): R. Lee Britton Jr., Lynne R. Stern, Daniel Patrick Hurley Hearing Site: New Orleans, LA
| | Dismissed by Rule 12206 |