| 19-03484 | 11/09/2020 | Claimant(s): Atul Bhatia
Claimant Lawyers(s): Atul Kumar Bhatia
Respondent(s): EFG Capital International
Respondent Lawyers(s): Jonathan S. Robbins
Arbitrator(s): James A. Lundberg, Peter N. Thompson, Frederick Ramos
Hearing Site: Minneapolis, MN
| | |
| 14-01821 | 07/01/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Mark Primrose
Respondent Lawyers(s): Mark Primrose
Arbitrator(s): James A. Lundberg
Hearing Site: Des Moines, IA
| | |
| 12-02792 | 06/10/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Gregory Paine
Respondent Lawyers(s): Jonathan M. Harris
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
| | |
| 12-00200 | 08/16/2012 | Claimant(s): Investment Centers of America.
Claimant Lawyers(s): Scott A. Chernich
Respondent(s): Monica Liska
Respondent Lawyers(s): Monica Marie Liska
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
| | |
| 11-02861 | 12/22/2011 | Claimant(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
| | |
| 10-02308 | 05/26/2011 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Julie H. Firestone
Respondent(s): Brett Bauer
Respondent Lawyers(s): Brett Bauer
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
| | |
| 10-03399 | 12/03/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Timothy Scanlan
Respondent Lawyers(s): James A. McGurk
Arbitrator(s): James A. Lundberg
Hearing Site: Milwaukee, WI
| | |
| 09-06571 | 07/13/2010 | Claimant(s): Edwin Lundgren
Claimant Lawyers(s): E. Brent Lundgren
Respondent(s): William Park
Respondent Lawyers(s): William Brown Park
Arbitrator(s): James A. Lundberg
Hearing Site: Bismarck, ND
| | |
| 09-01642 | 06/28/2010 | Claimant(s): Michael McMahon
Claimant Lawyers(s): Shannon M. McDonough
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): James A. Lundberg, Andrew R. Dick, Gary L. Hansen
Hearing Site: Minneapolis, MN
| | |
| 09-02516 | 10/12/2009 | Claimant(s): Kenneth Cherrier
Claimant Lawyers(s): Terrence J. Fleming
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Irene E. Bassock
Arbitrator(s): James A. Lundberg, Loyall E. Wilson, Donald Ray McNeil
Hearing Site: Minneapolis, MN
| | |
