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FINRA Awards for Securian Financial Services.

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Displaying 10 out of 14 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0128503/19/2024Claimant(s): Joseph Cantrell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securian Financial Services.
Respondent Lawyers(s): Beth Wiederholt
Arbitrator(s): David A. Schuler
Hearing Site: New Orleans, LA
23-0144202/16/2024Claimant(s): Nathaniel Crowther
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securian Financial Services.
Respondent Lawyers(s): Beth Grover Wiederholt
Arbitrator(s): Charles G. Michaels
Hearing Site: Salt Lake City, UT
22-0290010/12/2023Claimant(s): Richard Ehrlich
Claimant Lawyers(s): Harris Freedman
Respondent(s): Park Avenue Securities LLC, Securian Financial Services.
Respondent Lawyers(s): Kathryn Roe Eldridge, Lisa Stopfer
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: Boca Raton, FL
22-0265706/29/2023Claimant(s): Justin Goodbread
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securian Financial Services.
Respondent Lawyers(s): Lisa Stopfer
Arbitrator(s): John Winslow Griesser
Hearing Site: Nashville, TN
22-0166503/16/2023Claimant(s): Henry Gallardo
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Investors Capital Corp., Securian Financial Services.
Respondent Lawyers(s): David Feldstein, Lisa Stopfer
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Albuquerque, NM
22-0130110/14/2022Claimant(s): Paul Carnahan
Claimant Lawyers(s): Paul Michael Carnahan
Respondent(s): Securian Financial Services.
Respondent Lawyers(s): Jared K. Levy
Arbitrator(s): Michael J. Meeusen
Hearing Site: Detroit, MI
20-0357502/18/2022Claimant(s): Michael Goldstein
Claimant Lawyers(s): Jeffrey S. Kob
Respondent(s): Michael Tate, Nikolai Papa, Securian Financial Services.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Sarah Jane Militello, Robert James Favole, Michael Zatkin
Hearing Site: San Francisco, CA
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20-0347509/24/2021Claimant(s): Russell McLean
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securian Financial Services.
Respondent Lawyers(s): Richard J. Babnick
Arbitrator(s): Peter Khalil
Hearing Site: Portland, OR
20-0236103/25/2021Claimant(s): Brian Bushwell
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): Securian Financial Services., WS Griffith Securities.
Respondent Lawyers(s): Beth Wiederholt, Nancy J. Engberg
Arbitrator(s): Josian Antoine
Hearing Site: New York, NY
20-0179312/23/2020Claimant(s): Todd Roselle
Claimant Lawyers(s): Brian Luther
Respondent(s): Cambridge Investment Research., Securian Financial Services.
Respondent Lawyers(s): Richard H. Kuhlman, Richard J. Babnick
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Wilmington, DE

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