FY2024 Proceedings

• 24E077 - Nathaniel L. Smith, Smith General Ventures LLC
• 24E068 - Robinhood Financial LLC (CRD 1133999)
• 24E040 - Paul Le
• 24E021 - Carol D. Sloan (CRD 4832867)
• 24E015 - Randy L. Kufahl (Premier Global Corp., et al.)
• 24E014 - Randy L. Kufahl (AllTrades Industrial Development, LLC)
• 24E013 - Randy L. Kufahl (Shah-H1, LLC)
• 2024-MV-0000159 - Nathaniel L. Smith, Smith General Ventures LLC

FY2023 Proceedings

• 23E174 - Morton Capital LLC, Joel D. Morton (CRD 2842780)
• 23E155 - Bryan L. Cochran (CRD 5062915)
• 23E154 - Todd R. Gentry
• 23E145 - Roy B. Harrison (CRD 1133999) (1 Global)
• 23E144 - Roy B. Harrison (CRD 1133999) (Premier)
• 23E143 - Roy B. Harrison (CRD 1133999) (FIP)
• 23E133 - Nexo Capital Inc
• 2022–CV–002052–OT - Premier Global Corporation, et al. (Sedgwick Cty. Dist. Ct.)
• 23E039 - Roger D. Sprouse (CRD 5483578)

FY2022 Proceedings

• 22E139 - BlockFi Lending LLC
• 22E097 - Peggy A. Golliher
• 22E039 - American Senior Benefits, LLC
• 22E033 - Matthew L. Walker (CRD 4874720)
  Pinnacle Plus Capital, LLC (CRD 153896)
• 22E020 - Legacy Map Design, LLC (CRD 297269)

FY2021 Proceedings

• 21E113 - Levi G. Clock (CRD 5067442)
• 21E112 - Emil J. Wansa (CRD 735579)
• 21E110 - Titan Securities (CRD 131392)
• 21E077 - William E. Hamm (CRD 1894960)
• 21E076 - Raymon V. Orloske
• 21E069 - National Pension & Group Consultants, Inc. (CRD 613)
• 21E068 - Michael D. Morrow (CRD 2364423)
• 21E067 - Michael J. Silva (CRD 2834423)
  The General & Associates LLC (CRD 301358)
• 21E051 - Joseph A. McArdle
• 21E031 - Michael A. Julian (CRD 1549161)
• 21E028 - Prosperity Advisers, LLC (CRD 1549161)
• 21E027 - Solium Financial Services, LLC (CRD 147933)
• 21E022 - Scott D. Schulte (CRD 3169095)
• 21E008 - Ricky D. Slifer (CRD 1856361)

FY2020 Proceedings

• 20E095 - Daniel B. Hutcheson
• 20E082 - Roy B. Harrison (CRD 1133999)
• 20E079 - VIP Advisors, LLC (CRD 106106)
• 20E063 - Drayson D. Doyle (CRD 1029969)
• 20E062 - Michael T. Riedmiller (CRD 6552569)
• 20E056 - Richard D. Dean
• 20E047 - David P. Landwehr - (CRD 2197925)
• 20E022 - Quantum Financial Partners, LLC (CRD 138112)
• 20E007 - John F. Germes

FY2019 Proceedings

• 19E086 - James L. McEnerney, Jr. (CRD 734383)
• 19E079 - LPL Financial LLC
• 19E058 - Lawrence E. Hagedorn (CRD 1794077)
• 19E018 - Windsor Street Capital. LP (CRD 34171)

FY2018 Proceedings

• 18E050 - Jesse W. Harris, d/b/a Harris Custom Projects, LLC
• 18E047 - Jesse W. Harris d/b/a Harris Custom Projects, LLC
• 18E043 - Terri L. Mayata
• 18E018 - Gregory A. Price (CRD 46214)
  Price Financial Group
• 18E017 - NEXT Financial Group, Inc. (CRD 46214)
• 18E015 - Mark W. Mahaffie (CRD 40673)
• 18E014 - Wilbanks Securities, Inc. (CRD 40673)
• 18E007 - Jeremy Alessi (CRD 5736957)
  Cottonwood Wealth Management, LLC (CRD 166861)
• 18E001 - Christopher Parr (CRD 2110651)

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