| 09-04785 | 07/09/2010 | Claimant(s): Daniel Klein
Claimant Lawyers(s): Christine A. Palmieri
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Susan C. Lushing, Joseph D. Cosgrove, Gregory J. Getz
Hearing Site: New York, NY
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| 09-06795 | 05/26/2010 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Courtney R. Reid
Respondent(s): Richard Ryder
Respondent Lawyers(s): Richard J Ryder
Arbitrator(s): Robert W. Kneeland
Hearing Site: Tampa, FL
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| 09-03050 | 05/07/2010 | Claimant(s): Shan Kumar
Claimant Lawyers(s): William A. Linton
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Courtney R. Reid
Arbitrator(s): Roy J. Moceri
Hearing Site: Seattle, WA
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| 09-05188 | 04/08/2010 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Jeffery Westerman
Respondent Lawyers(s): Jeffery Luke Westerman
Arbitrator(s): Robert P. Fogarty, Alex H. Keller, Dale A. Crawford
Hearing Site: Columbus, OH
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| 09-05258 | 04/08/2010 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): David Moore
Respondent Lawyers(s): David N. Moore
Arbitrator(s): W. Pat Conners, Thomas J. McAllister, Erwin John Dugasz
Hearing Site: Columbus, OH
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| 08-04008 | 03/26/2010 | Claimant(s): Darren Meyer
Claimant Lawyers(s): Peter A. Cantwell
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward Magarian
Arbitrator(s): S. Lee Terry, Devra Ann Perch, Bradford J. Lam
Hearing Site: Denver, CO
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| 09-05832 | 03/09/2010 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Shawn Menz
Respondent Lawyers(s): Shawn Menz
Arbitrator(s): Edward M. Olson
Hearing Site: Columbus, OH
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| 09-00965 | 11/23/2009 | Claimant(s): City Securities Corporation
Claimant Lawyers(s): John T.L. Koening
Respondent(s): Brian Osner, Ameriprise Financial Services.
Respondent Lawyers(s): Dennis J. Concilla
Arbitrator(s): R. Van Young, Raymond M. Kirtley, Eugene G. Ziobron
Hearing Site: Indianapolis, IN
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| 09-02026 | 11/11/2009 | Claimant(s): Timothy Parker
Claimant Lawyers(s): Timothy E Parker
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Cathy Gress Springer
Arbitrator(s): Jerry M. Helfand
Hearing Site: Minneapolis, MN
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| 08-03618 | 10/01/2009 | Claimant(s): Ameriprise Financial Services., Ameriprise Financial.
Claimant Lawyers(s): John L. Einstein
Respondent(s): Martin Smith
Respondent Lawyers(s): Musa L. Eubanks
Arbitrator(s): David L. Ruderman, Gregory R. Banasz, David Paul Clark
Hearing Site: Baltimore, MD
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