| 10-04211 | 06/27/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Terri Evans
Respondent Lawyers(s): Terri Jo Evans
Arbitrator(s): Gary L. Grolle
Hearing Site: Milwaukee, WI
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| 09-01975 | 06/23/2011 | Claimant(s): Gary Goldberg & Co.., Gary Goldberg Planning Services.
Claimant Lawyers(s): Arnold E. Reiter
Respondent(s): Ameriprise Financial Services., Leah Lebovits, Sidney Abramowitz
Respondent Lawyers(s): John Greco, Philip J. Campisi
Arbitrator(s): Michael H. DuBoff, Alfonso G. Figliolia, Abigail J. Pessen
Hearing Site: New York, NY
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| 09-06212 | 06/17/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Jason Peroni
Respondent Lawyers(s): Jason M Peroni
Arbitrator(s): Arnold M. Marrow, Sandor I. Rabkin, Jane Venckus Zirlis
Hearing Site: Manchester, NH
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| 10-02538 | 06/13/2011 | Claimant(s): Marlon Dubinsky
Claimant Lawyers(s): Gerald T. Laurie
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): John B. Orenstein, Natalie A. Roberts, Susan M. Sanger
Hearing Site: Minneapolis, MN
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| 09-05497 | 05/23/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward B. Magarian
Respondent(s): David Bekenstein
Respondent Lawyers(s): Willard Knox
Arbitrator(s): Joseph A. Kenary, Carol Ann Anderson, Mark Cammann Pyle
Hearing Site: Washington, DC
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| 10-00550 | 05/10/2011 | Claimant(s): Ameriprise Advisor Services., Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Alfred Keyser
Respondent Lawyers(s): Alfred Keyser
Arbitrator(s): John A. Gray, Stephanie Jean Malevich, Gerald B. Marcovsky
Hearing Site: Washington, DC
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| 09-06788 | 04/21/2011 | Claimant(s): Spade Chan
Claimant Lawyers(s): Mark P. Meuser
Respondent(s): Bruce Bordelon, Ameriprise Financial Services., Johnny Ng
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Frank R Weaver, Nancy Hutt, Barbara M. Anscher
Hearing Site: San Francisco, CA
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| 10-00380 | 04/07/2011 | Claimant(s): Christopher Hutchinson
Claimant Lawyers(s): Brian J. Sommer
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward B. Magarian
Arbitrator(s): Paul H. McKenna, Kathleen K. Murphy, James J. Puhala
Hearing Site: Pittsburgh, PA
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| 09-06154 | 03/24/2011 | Claimant(s): Kevin Afnan
Claimant Lawyers(s): Andrew A. Kabat
Respondent(s): Ameriprise Advisor Services., Ameriprise Financial Services.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Bert S Cliff, Ellen Holland Keller, Robert M Lustig
Hearing Site: Cleveland, OH
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| 08-01957 | 03/09/2011 | Claimant(s): "Bruce" Moghaddam-Jafary
Claimant Lawyers(s): Faramarz Moghaddam-Jafary
Respondent(s): Ameriprise Financial Services., Ameriprise Financial.
Respondent Lawyers(s): Bryan C. Keane
Arbitrator(s): David J. Anderson, Christine A. Page, Richard J. Stall
Hearing Site: Los Angeles, CA
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