| 20-02507 | 10/30/2024 | Claimant(s): Cinda Collins
Claimant Lawyers(s): Vincent D. Louwagie
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Kevin D. Hofman, Jo Anne F. Lewellen, Nathaniel Cade
Hearing Site: Minneapolis, MN
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| 23-02778 | 09/05/2024 | Claimant(s): Joseph Michaletz
Claimant Lawyers(s): Nathan Lamb
Respondent(s): DAI Securities
Respondent Lawyers(s): Ernest G. Strauss
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Minneapolis, MN
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| 22-00090 | 08/29/2024 | Claimant(s): International Assets Advisory, International Assets Investment Mgmt LLC
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Jacob Jansen
Respondent Lawyers(s): Joseph B. Alonso
Arbitrator(s): Michael J. Meeusen, Thomas J. Gmeinder, James Martell Martin
Hearing Site: Minneapolis, MN
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| 23-03351 | 08/12/2024 | Claimant(s): Lee Rycraft
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Minneapolis, MN
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| 24-00041 | 08/05/2024 | Claimant(s): Andrew Schelitzche
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Frederick Ramos
Hearing Site: Minneapolis, MN
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| 23-01477 | 05/09/2024 | Claimant(s): Joseph Swanson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Phyllis Karasov
Hearing Site: Minneapolis, MN
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| 23-01125 | 12/26/2023 | Claimant(s): Sahand Elmtalab
Claimant Lawyers(s): Michael E. Rowe
Respondent(s): Mml Investors Services, Llc, Northwestern Mutual Investment Services,
Respondent Lawyers(s): Clarke C. Greene, Jullie E. Ravis
Arbitrator(s): Tracy L. Allen
Hearing Site: Minneapolis, MN
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| 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
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| 23-00365 | 11/09/2023 | Claimant(s): Patrick Murphy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Roxanna V. Gonzalez
Arbitrator(s): Tracy L. Allen
Hearing Site: Minneapolis, MN
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