| 20-03738 | 03/21/2024 | Claimant(s): Michael Resch, Robert Galbreath, William Galbreath
Claimant Lawyers(s): Marc Seldin Rosen
Respondent(s): Anthony Stanley, Northwestern Mutual Investment Services
Respondent Lawyers(s): Jeffrey J. Chomko, Liam O'Brien
Arbitrator(s): Dolores E Trojak, John James McGovern, Peter John Maurice Forbes
Hearing Site: Philadelphia, PA
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| 21-02359 | 07/07/2023 | Claimant(s): Donna Dubroja Trust UA 11/19/09
Claimant Lawyers(s): Phyllis Sower
Respondent(s): Christopher Wiedmar, Gregory Russell, Mitchell Barnes, Northwestern Mutual Investment Services
Respondent Lawyers(s): Joel Wertman
Arbitrator(s): Frederick Ramos, Raymond M. Kirtley, Jerry Gale McGrew
Hearing Site: Louisville, KY
|  | Expungement |
| 22-00529 | 09/26/2022 | Claimant(s): Nathan Kinzinger
Claimant Lawyers(s): Michael P. Tomlinson
Respondent(s): Northwestern Mutual Investment Services
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Mitchell Lee Marinello, Leonard Arthur Nelson, Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
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| 22-00585 | 09/26/2022 | Claimant(s): Keith Steidle
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Northwestern Mutual Investment Services
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
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| 20-01992 | 04/22/2021 | Claimant(s): Christopher Wright
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Northwestern Mutual Investment Services
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Kim L. Kirn
Hearing Site: St. Louis, MO
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| 20-01838 | 02/04/2021 | Claimant(s): James Peters
Claimant Lawyers(s): Zachary T. Hayes-Macaluso
Respondent(s): Centaurus Financial., Northwestern Mutual Investment Services
Respondent Lawyers(s): Michael Thomas West, Thomas K. Anderson
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Los Angeles, CA
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| 20-01623 | 02/01/2021 | Claimant(s): Adam Way
Claimant Lawyers(s): Zachary T. Hayes-Macaluso
Respondent(s): Northwestern Mutual Investment Services
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
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| 20-02036 | 12/07/2020 | Claimant(s): Francis Clement
Claimant Lawyers(s): Francis James Clement
Respondent(s): Northwestern Mutual Investment Services
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Kathleen Hoey Gorr, Corinne A. Cox, Clifford C. Rohde
Hearing Site: Rochester, NY
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| 20-01197 | 11/18/2020 | Claimant(s): Michael Schwartz
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Northwestern Mutual Investment Services
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Josian Antoine
Hearing Site: New York, NY
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| 17-03356 | 07/09/2018 | Claimant(s): Randall Lehman
Claimant Lawyers(s): Owen Harnett
Respondent(s): Northwestern Mutual Investment Services
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Indianapolis, IN
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