| 21-00632 | 03/24/2022 | Claimant(s): Andrew Pravlik
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prospera Financial Services.
Respondent Lawyers(s): William M. Schmitt
Arbitrator(s): Mark A. Sipper
Hearing Site: Pittsburgh, PA
| | |
| 18-02320 | 07/02/2019 | Claimant(s): Peter Covino
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, VSR Financial Services., Prospera Financial Services.
Respondent Lawyers(s): Brian Harlan, Jeremy Carr, William M. Schmitt
Arbitrator(s): Daniel B. MacLeod
Hearing Site: Boise, ID
| | |
| 17-03220 | 01/09/2019 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A Pickett
Respondent(s): Jay Slouffman, Prospera Financial Services.
Respondent Lawyers(s): John Alten
Arbitrator(s): Stephen P. Calardo, A. Brian McIntosh, David S. Blessing
Hearing Site: Cincinnati, OH
| | |
| 16-00450 | 08/31/2017 | Claimant(s): Prospera Financial Services.
Claimant Lawyers(s): Niel Prosser
Respondent(s): Alan Luttman
Respondent Lawyers(s): Donald R. McNeil
Arbitrator(s): David Evans Rosedahl, Kevin D. Hofman, Frederick Ramos
Hearing Site: Minneapolis, MN
| | |
| 14-02889 | 04/06/2016 | Claimant(s): Rodney Hell
Claimant Lawyers(s): Christian Sande
Respondent(s): Alan Luttman, Joni Spaeth, Michael Braddy, Roger Hubley, NetWorth Asset Management., Prospera Financial Services.
Respondent Lawyers(s): Christopher B. Trowbridge, Elizabeth P. Ridley, Jonathan M. Harris
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
|  | Expungement |
| 13-01997 | 09/25/2014 | Claimant(s): Brad Nord, Cheryl Nord, Nord Cos. Inc., Bradley S. Nord IRA
Claimant Lawyers(s): Brad Nord
Respondent(s): Anthony Bauer, Berthel, Fisher & Company Financial Serv, Prospera Financial Services.
Respondent Lawyers(s): Cory D. Olsen, Jeff I. Nicodemus
Arbitrator(s): Douglas J. Nesbit, Robert Lee Nelson, Steven Eric Brandes
Hearing Site: Minneapolis, MN
| | $0 |
