| 15-00734 | 04/18/2019 | Claimant(s): Gerald M. Butler, Jr. Family Trust, Jr. Marital Trust
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): National Securities Corporation, National Asset Management
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Marc Kalish, Kevin Edward Anthony, John P. Kelly
Hearing Site: Salt Lake City, UT
|  | $1,145,240 |
| 18-00122 | 04/10/2019 | Claimant(s): Paula Tyler, Trustee Tyler Family Trust
Claimant Lawyers(s): Joseph S. Schuchert
Respondent(s): National Securities Corporation, Folio Investments.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Mary M. O'Neil, Earl Robert Jordan, Bonnie Chavez
Hearing Site: Los Angeles, CA
| | $0 |
| 17-02960 | 02/26/2019 | Claimant(s): National Securities Corporation
Claimant Lawyers(s): Fred Knopf
Respondent(s): Steven Bell
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): Mark C. Perry, Lawrence C. Levey, Kimberlee Ann Fowler
Hearing Site: Boca Raton, FL
| | |
| 18-02579 | 02/08/2019 | Claimant(s): Mark Goldwasser
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Clive I. Morrick
Hearing Site: New York, NY
| | |
| 18-00674 | 01/25/2019 | Claimant(s): Thomas Kelly
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | |
| 17-00554 | 12/11/2018 | Claimant(s): Muhammad Munir, Uzma Munir, Muhammad Munir SEP IRA, Muhammad and Uzma Munir
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Lita S Menkin, Jack A. Helms, John Winslow Griesser
Hearing Site: Nashville, TN
| | Expungement |
| 17-01734 | 12/11/2018 | Claimant(s): Bruce Hink
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Benjamin Biard
Arbitrator(s): Donald Glen Russell, Raymond P. Buschmann, Michael Charles Peek
Hearing Site: Indianapolis, IN
| | Expungement |
| 18-00657 | 12/10/2018 | Claimant(s): Thomas Kelly
Claimant Lawyers(s): Michael Bessette
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | |
| 18-01217 | 10/26/2018 | Claimant(s): Vasilios Takos
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): National Securities Corporation, Continental Broker-Dealer Corp.
Respondent Lawyers(s): Emily Hayes, Michael Clements
Arbitrator(s): Harrison Johnson
Hearing Site: New York, NY
| | |
| 18-01067 | 10/01/2018 | Claimant(s): Rushdi Zalatimo
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Pamela H. Roderick
Hearing Site: New York, NY
| | |
