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FINRA Awards for HD Vest Investment Services

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Displaying 10 out of 14 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0272003/26/2020Claimant(s): Craig Cheramie
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): HD Vest Investment Services
Respondent Lawyers(s): Veronica Cordova
Arbitrator(s): Brian P. Jakes
Hearing Site: New Orleans, LA
19-0228603/20/2020Claimant(s): Dorothy Yandle
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): HD Vest Investment Services
Respondent Lawyers(s): Eric J. Chartan
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
19-0215901/28/2020Claimant(s): Edward Ryan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): HD Vest Investment Services
Respondent Lawyers(s): Eric Chartan
Arbitrator(s): Louis H Miron
Hearing Site: Newark, NJ
19-0168201/13/2020Claimant(s): Paul Carpenter
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): HD Vest Investment Services
Respondent Lawyers(s): Eric J. Chartan
Arbitrator(s): Catherine Stewart
Hearing Site: Pittsburgh, PA
18-0433207/25/2019Claimant(s): Steven Baumrucker
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): HD Vest Investment Services
Respondent Lawyers(s): Eric Chartan
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Wichita, KS
18-0401605/31/2019Claimant(s): Ivanna Liberatore
Claimant Lawyers(s): Michael J. Betts
Respondent(s): HD Vest Investment Services
Respondent Lawyers(s): Eric J. Chartan
Arbitrator(s): Steven T. Stern
Hearing Site: Pittsburgh, PA
18-0275403/28/2019Claimant(s): Mickey Owen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): HD Vest Investment Services
Respondent Lawyers(s): Eric J. Chartan
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Nashville, TN
18-0356702/26/2019Claimant(s): Mark Edwards
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): HD Vest Investment Services
Respondent Lawyers(s): Eric Chartan
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
18-0210511/16/2018Claimant(s): Jeffrey Kotch
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): HD Vest Investment Services
Respondent Lawyers(s): Eric Chartan
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
18-0209610/31/2018Claimant(s): Brendon Pierson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): HD Vest Investment Services
Respondent Lawyers(s): Eric J. Chartan
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ

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