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FINRA Awards for Ameriprise Financial Services.

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Displaying 251-260 out of 316 results
Case Number Award Date Case Summary Customer Case? Amount Granted
11-0265401/11/2012Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Steven Wright
Respondent Lawyers(s): Timothy W. Boyd
Arbitrator(s): Chandler R Bridges
Hearing Site: Atlanta, GA
11-0066012/22/2011Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Mark Essenfeld
Respondent Lawyers(s): Channing Blair Hesse
Arbitrator(s): Roland L. Olzark
Hearing Site: Chicago, IL
11-0286112/22/2011Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Peter Ryan
Respondent Lawyers(s): Peter Remington Ryan
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
10-0520112/20/2011Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Antonio Jefferson
Respondent Lawyers(s): Antonio Jefferson
Arbitrator(s): Edward M. Olson
Hearing Site: Detroit, MI
11-0134012/20/2011Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Blake Richards
Respondent Lawyers(s): Blake Bancroft Richards
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
11-0314812/15/2011Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Scott Dascani
Respondent Lawyers(s): Scott Dascani
Arbitrator(s): William F. Glaser
Hearing Site: Tampa, FL
11-0314112/12/2011Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Jeffrey Lavoie
Respondent Lawyers(s): Jeffrey Lavoie
Arbitrator(s): Sandor I. Rabkin
Hearing Site: Manchester, NH
09-0659212/09/2011Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Thomas Flaherty
Respondent Lawyers(s): Matthew LeFande
Arbitrator(s): Michael Wolf, Kermit C. Zieg, Richard Charles Hotvedt
Hearing Site: Washington, DC
11-0191812/02/2011Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): James Pihaly
Respondent Lawyers(s): James Richard Pihaly
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
11-0247411/09/2011Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Terrence Devlin
Respondent Lawyers(s): Terrence Timothy Devlin
Arbitrator(s): Richard A. Knudsen
Hearing Site: Omaha, NE

316 Results

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