| 23-01215 | 01/22/2024 | Claimant(s): Brent Turner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): QA3 Financial Corp., Transamerica Financial Advisors
Respondent Lawyers(s): Stephen K. Wild, Susan D. Duff
Arbitrator(s): Karl A. Vogeler
Hearing Site: Nashville, TN
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| 22-01896 | 08/10/2023 | Claimant(s): Terry Anderson
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Securities America., First Allied Securities., Capwest Securities., International Assets Advisory, J.W. Cole Financial., QA3 Financial Corp.
Respondent Lawyers(s): Dale K. Hall, Emily M. Knight, Jennifer R. Cox, Jeremy Wooden, Myra P. Nicholson, Stephen K. Wild
Arbitrator(s): Steven Meyrich, Leonard M. Goldstein, Aaron J. Haley
Hearing Site: Denver, CO
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| 22-01878 | 04/26/2023 | Claimant(s): John Jenkins
Claimant Lawyers(s): Samantha Pastor
Respondent(s): SunAmerica Securities., QA3 Financial Corp.
Respondent Lawyers(s): Jennifer R. Cox, Thomas Zielinski
Arbitrator(s): Erik R. Siering
Hearing Site: San Diego, CA
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| 20-02873 | 05/20/2021 | Claimant(s): Jeffrey Rogers
Claimant Lawyers(s): Brian Luther
Respondent(s): QA3 Financial Corp., United Planners' Financial Services Of A
Respondent Lawyers(s): Dave Hauer, Stephen Wild
Arbitrator(s): Martin M. Van Luven
Hearing Site: Orlando, FL
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| 19-03454 | 09/25/2020 | Claimant(s): John Vandyke
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): QA3 Financial Corp.
Respondent Lawyers(s): Company President
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
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| 18-02111 | 01/25/2019 | Claimant(s): John Redfearn
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): QA3 Financial Corp.
Respondent Lawyers(s): Coporate Officer
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
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| 17-01901 | 04/18/2018 | Claimant(s): Michael Tomren
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Montauk Securities Corp., QA3 Financial Corp.
Respondent Lawyers(s): Robert I. Rabinowitz, Stephen K. Wild
Arbitrator(s): Joseph M. O'Connor
Hearing Site: San Francisco, CA
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| 17-00405 | 01/12/2018 | Claimant(s): Daniel Ahmad
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): National Planning Corporation, QA3 Financial Corp.
Respondent Lawyers(s): Chad Weaver, Stephen K. Wild
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
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| 17-00238 | 10/11/2017 | Claimant(s): James Files
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): QA3 Financial Corp.
Respondent Lawyers(s): Stephen K. Wild
Arbitrator(s): Kevin C. Coleman
Hearing Site: San Francisco, CA
| | |
| 09-05897 | 01/06/2011 | Claimant(s): Mary Calzat, Mary D. Calzat IRA, The Calzat Family Trust, DTD 11/25/98
Claimant Lawyers(s): David S. Harrison
Respondent(s): Gregory Bolton, Stephen Wild, Thomas Zielinski, QA3 Financial Corp.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Douglas Edwards, Katherine M. Harmeyer, Merrill Dean Taylor
Hearing Site: Las Vegas, NV
|  | Expungement |
