| 19-01096 | 06/30/2022 | Claimant(s): Timothy Satre
Claimant Lawyers(s): Mark C. Sparks
Respondent(s): David Dick, David Wilson, Ameriprise Financial Services
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Ronald L. Mullins, Robert C. Rice, David Aaron DeSoto
Hearing Site: Houston, TX
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| 19-03155 | 05/19/2020 | Claimant(s): Matthew Rotella
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Michael H DuBoff
Hearing Site: Newark, NJ
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| 19-02682 | 03/27/2020 | Claimant(s): William O'Connell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
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| 19-02248 | 03/06/2020 | Claimant(s): Michael Scott
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Gene M. Bauer
Hearing Site: Boston, MA
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| 19-00488 | 10/17/2019 | Claimant(s): Robert Burns
Claimant Lawyers(s): Harris Freedman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Monica I. Salis
Hearing Site: Boca Raton, FL
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| 18-03956 | 10/09/2019 | Claimant(s): Timothy Caso
Claimant Lawyers(s): Timothy Caso
Respondent(s): Ameriprise Financial Services., Thomas Robbins
Respondent Lawyers(s): Edward A. Walton, Joel Wertman
Arbitrator(s): Peter D. Shelp, Mary L. Sims, Suzanne Levin Wolfson
Hearing Site: Philadelphia, PA
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| 17-00828 | 05/02/2018 | Claimant(s): Eric Korhut
Claimant Lawyers(s): David J Weaver
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Michael J. Meeusen, Justin Henry McCarthy, G. Daniel Carney
Hearing Site: Pittsburgh, PA
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| 17-01937 | 04/09/2018 | Claimant(s): Bradley Fischer
Claimant Lawyers(s): Owen Harnett
Respondent(s): LPL Financial LLC, Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton, Jon D. Kaplon
Arbitrator(s): Michael J. Meeusen
Hearing Site: Detroit, MI
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| 17-00881 | 12/07/2017 | Claimant(s): Alvin Sanders
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Herbert Liberman
Hearing Site: San Diego, CA
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| 15-01270 | 06/20/2017 | Claimant(s): Sally Boyle
Claimant Lawyers(s): Sally J. Boyle
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Sharon L. Monroe, Catherine Stewart, John Francis Markuns
Hearing Site: Manchester, NH
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