| 21-02877 | 08/10/2022 | Claimant(s): Christopher Fess
Claimant Lawyers(s): Charles M. O'Rourke
Respondent(s): Walnut Street Securities.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Robert L. Chisolm, William Stephen Lee, Mary Elizabeth Skelnik
Hearing Site: Little Rock, AR
| | |
| 19-03693 | 08/31/2020 | Claimant(s): Paul Ewing
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Walnut Street Securities.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Michael S. Matek
Hearing Site: Kansas City, MO
| | |
| 18-04142 | 08/05/2019 | Claimant(s): Daniel Lauletta
Claimant Lawyers(s): Michael Charlillo
Respondent(s): Ameriprise Financial Services., Cetera Advisor Networks LLC, Walnut Street Securities.
Respondent Lawyers(s): Howard M. Klausmeier, Joseph Simms
Arbitrator(s): Michael L. Fortney
Hearing Site: Cleveland, OH
| | |
| 18-01080 | 12/12/2018 | Claimant(s): Jeremy Paul
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets., National Planning Corporation, Walnut Street Securities.
Respondent Lawyers(s): Christina Vourakis, David I. Hantman, Scott Forbush
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
| | |
| 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
| | |
| 13-01693 | 09/17/2014 | Claimant(s): Steven Halliwell
Claimant Lawyers(s): Steven E. Halliwell
Respondent(s): Linda Miller, Nationwide Investment Services Corporati, Securities Service Network., Walnut Street Securities.
Respondent Lawyers(s): Abigail D. Elrod, Joanna M.F. Wilcomes, Ronald T. Klimas, Victoria A. Flinn
Arbitrator(s): James M. Rhodes
Hearing Site: New York, NY
|  | Dismissed by Rule 12206 |
| 13-00296 | 03/10/2014 | Claimant(s): Suzanne Vierra IRA, Virra Broshear Enterprises Defined Benef
Claimant Lawyers(s): Charles A. Tweedy, Joseph W. Scalia
Respondent(s): Gene Williams, Walnut Street Securities.
Respondent Lawyers(s): Louis Castoria
Arbitrator(s): Lester Friedman, James N. D'Orso, Dennis Markham Smith
Hearing Site: San Francisco, CA
| | Expungement |
| 10-00037 | 11/20/2012 | Claimant(s): Elizabeth Jones, Susan Simon
Claimant Lawyers(s): Willard Knox
Respondent(s): Walnut Street Securities.
Respondent Lawyers(s): Kevin J. Smith
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | |
| 07-03584 | 12/01/2008 | Claimant(s): Kathleen Vigiano, Maria Vigiano
Claimant Lawyers(s): Marc D. Powers
Respondent(s): Robert Kennedy, Robert J. Kennedy & Associates, Walnut Street Securities.
Respondent Lawyers(s): B. John Pendleton
Arbitrator(s): Marvin Schwartz, Alida D. Camp, Sharon A. McCloskey
Hearing Site: New York, NY
| | $388,669 |
