| 18-01174 | 05/08/2019 | Claimant(s): Timothy Schmadeke
Claimant Lawyers(s): Dennis G. Peatrowsky
Respondent(s): David Means, MML Investors Services
Respondent Lawyers(s): J. David Jackson, William P. Thornton
Arbitrator(s): Lynn Hirschfeld Brahin, John R. Loss, Steven Michael Vokal
Hearing Site: Omaha, NE
| | |
| 18-03123 | 03/20/2019 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay Wuller
Respondent(s): Keir Harner
Respondent Lawyers(s): Keir Dane Harner
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Omaha, NE
| | |
| 18-01331 | 01/28/2019 | Claimant(s): Roger Deal
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Philip J. Glick
Hearing Site: Omaha, NE
| | |
| 18-00468 | 12/17/2018 | Claimant(s): David Skutnik
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameritas Investment Corp.
Respondent Lawyers(s): David Williams
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Omaha, NE
| | |
| 18-00561 | 10/30/2018 | Claimant(s): Richard Frith II
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Larson Financial Securities
Respondent Lawyers(s): Steven Cervantes
Arbitrator(s): Susan L. Walker
Hearing Site: Omaha, NE
| | |
| 17-00841 | 10/08/2018 | Claimant(s): Austin Wambold, James Wambold, Susan Wambold
Claimant Lawyers(s): Lars K Soreide
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): T.R. Bynum
Arbitrator(s): Donald N. Tolin, Jonathan B. Gilbert, James Edward Nash
Hearing Site: Omaha, NE
|  | Expungement |
| 14-02349 | 09/24/2018 | Claimant(s): Fred Zenk
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Paul Posillico, Qi Huang, Stephen Grivas, Obsidian Capital Holdings, Obsidian Financial Group
Respondent Lawyers(s): Corporate Office, John Telfer, Paul Anthony Posillico, Qi Huang, Stephen Grivas
Arbitrator(s): Murray S. Levin, Jeffrey M. Bain, James Edward Nash
Hearing Site: Omaha, NE
| | $139,904 |
| 16-02316 | 09/04/2018 | Claimant(s): Dwain Owens, Myron Owens, Strategic Legacy Advisors.
Claimant Lawyers(s): Rodney K. Vincent
Respondent(s): Margaret Tietjen, Richard Woltman, Girard Securities.
Respondent Lawyers(s): R. Craig Zafis
Arbitrator(s): Marilyn R. Lewis, Verne R. Gray, David K. Schaal
Hearing Site: Omaha, NE
| | |
| 17-00712 | 06/06/2018 | Claimant(s): Kirk Nelson
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Murray S. Levin, Philip J. Glick, Mary C. Davis
Hearing Site: Omaha, NE
| | $216,490 |
| 16-00263 | 04/06/2018 | Claimant(s): Richard Struve
Claimant Lawyers(s): Bradley Schnur
Respondent(s): Michael Lavolpe
Respondent Lawyers(s): Michael Scott Lavolpe
Arbitrator(s): Susan L. Walker
Hearing Site: Omaha, NE
| | $110,780 |
