| 12-04045 | 03/27/2014 | Claimant(s): Andrew L. & Sharon M. Rosenberg, White Mountain Sports 401k Plan
Claimant Lawyers(s): Sharon M. Rosenberg
Respondent(s): R. Lawrence, Next Financial Group.
Respondent Lawyers(s): Gary Klein
Arbitrator(s): Randy R. Freedman
Hearing Site: Boca Raton, FL
|  | $15,311 |
| 12-03630 | 11/26/2013 | Claimant(s): The Estate of Irwin Berlin, M.D.
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Carole Kitrosser, Next Financial Group.
Respondent Lawyers(s): Michael J. Devereaux, Miles D. Hart
Arbitrator(s): Kip C. Lubcke, Robert S. Getman, Steven Hale Zousmer
Hearing Site: New York, NY
| | Expungement |
| 12-03963 | 09/11/2013 | Claimant(s): Next Financial Group.
Claimant Lawyers(s): Gary Klein
Respondent(s): Michael Kolacz
Respondent Lawyers(s): Michael D. Kolacz
Arbitrator(s): William E. Hartsfield
Hearing Site: Dallas, TX
| | |
| 11-03618 | 07/08/2013 | Claimant(s): Sandra Meisenzahl, Leonard B. Meisenzahl Trust, Sandra Meisenzahl Revocable Living Trust
Claimant Lawyers(s): W. Scott Turnbull
Respondent(s): Gerald Fasanella, Mutual Service Corporation, AIG Financial Advisors., Next Financial Group.
Respondent Lawyers(s): Craig A. Vollono, Fred N. Knopf, Marc S. Dobin, Peter B. King
Arbitrator(s): Steven Gerard Goerke, William Kent Brown, Lee Alan Rosenblum
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-04782 | 05/08/2012 | Claimant(s): Roger Loria, Winifred Loria, Dr. Roger Loria IRA, Mrs. Winifred Loria IRA, Immunitas. Retirement Plan
Claimant Lawyers(s): Anne W. Larkin
Respondent(s): Arnold Dorman, Elmer Bullis, Next Financial Group.
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Donald B. Vaden, JoAnne Lewis Nolte, Margaret Verdery Little
Hearing Site: Richmond, VA
| | $225,000 |
| 10-02648 | 06/15/2011 | Claimant(s): Next Financial Group.
Claimant Lawyers(s): Owen P. McGill
Respondent(s): William Abruzzino
Respondent Lawyers(s): William Abruzzino
Arbitrator(s): Jack A. Helms
Hearing Site: Orlando, FL
| | |
| 10-03524 | 02/16/2011 | Claimant(s): Next Financial Group.
Claimant Lawyers(s): Owen P. McGill
Respondent(s): Clyde Thornburg
Respondent Lawyers(s): Clyde Marshall Thornburg
Arbitrator(s): William F. Glaser
Hearing Site: Tampa, FL
| | |
| 09-04616 | 05/20/2010 | Claimant(s): Next Financial Group.
Claimant Lawyers(s): Owen P. McGill
Respondent(s): Jeremy Mcgilvrey
Respondent Lawyers(s): Jeremy McGilvrey - SID# 469949
Arbitrator(s): Gregory E. Muenster
Hearing Site: Houston, TX
| | |
| 08-02059 | 06/10/2009 | Claimant(s): Chase Investment Services Corp.
Claimant Lawyers(s): Thomas J. Cahill
Respondent(s): Brian Radoo, Next Financial Group.
Respondent Lawyers(s): Brian Radoo, Melvin G. Mosley
Arbitrator(s): Marguerite B. Filson, Robert S. Getman, James D. Yellen
Hearing Site: New York, NY
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