| 23-02204 | 12/14/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Keith J. Barnett
Respondent(s): Mitchell Roby
Respondent Lawyers(s): Mitchell Roby
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
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| 23-01044 | 11/16/2023 | Claimant(s): Michael Mc Conachie
Claimant Lawyers(s): Michael E. Rowe
Respondent(s): MML Investors Services
Respondent Lawyers(s): Julie E. Ravis
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
| | |
| 19-02914 | 04/17/2020 | Claimant(s): Barry Eller
Claimant Lawyers(s): Barry Carson Eller
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Marcia A. Washkuhn
Arbitrator(s): Terrence J. Fleming, Barry Goldman, Leo G. Stern
Hearing Site: Des Moines, IA
| | |
| 19-02840 | 12/30/2019 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay E. Wuller
Respondent(s): John Church
Respondent Lawyers(s): John Dewey Church
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
| | |
| 16-02807 | 12/29/2017 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Travis Chapin
Respondent(s): Sean Daly
Respondent Lawyers(s): Sean Declan Daly
Arbitrator(s): F. Chet Taylor, Leo G. Stern, Frank Abramson
Hearing Site: Minneapolis, MN
| | |
| 12-02826 | 01/25/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Joshua Maddux
Respondent Lawyers(s): Joshua A. Maddux
Arbitrator(s): Jeffrey A. Schuh, Leo G. Stern, John M. James
Hearing Site: Minneapolis, MN
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| 14-01307 | 07/16/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
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| 14-00499 | 04/02/2015 | Claimant(s): Benjamin F. Edwards & Company.
Claimant Lawyers(s): Joseph W. Anthony
Respondent(s): Janel Goff
Respondent Lawyers(s): Donald R. McNeil
Arbitrator(s): Bruce J. Nerland, Brett W. Olander, Leo G. Stern
Hearing Site: Minneapolis, MN
| | |
| 14-00272 | 08/20/2014 | Claimant(s): Rodney Potratz
Claimant Lawyers(s): Gara M. Seagraves
Respondent(s): Malea Jensen
Respondent Lawyers(s): Patrick B. White
Arbitrator(s): Leo G. Stern, Daniel E. Wright, Grant D. Sanders
Hearing Site: Des Moines, IA
| | Expungement |
| 13-00202 | 08/07/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Yana Kromo
Respondent(s): Denise Thornburgh
Respondent Lawyers(s): Denise L. Thornburgh
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
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