| 13-03590 | 11/28/2014 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Brian Murphy
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Kathy A. Tatone, Robert D. Lawson, Mary Ellen McGinnis
Hearing Site: Minneapolis, MN
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| 13-03278 | 11/13/2014 | Claimant(s): Patrick Kelly
Claimant Lawyers(s): James C. MacGillis
Respondent(s): Sagepoint Financial., American International Group., SAI Deferred Compensation Holdings.
Respondent Lawyers(s): Corporate Office, Gregory M. Curley
Arbitrator(s): Kevin D. Hofman, Jo Anne F. Lewellen, Kathleen Sweeney Tillotson
Hearing Site: Minneapolis, MN
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| 13-00914 | 11/06/2014 | Claimant(s): Greene Holcomb & Fisher LLC
Claimant Lawyers(s): Beverly J Aho
Respondent(s): ATM Network.,
Respondent Lawyers(s): Bryan R. Battina
Arbitrator(s): Douglas G. Plank, Kathryn J. Hoy, Alain Frecon
Hearing Site: Minneapolis, MN
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| 12-01754 | 10/15/2014 | Claimant(s): Craig Jarvinen
Claimant Lawyers(s): JD Haas
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Kristina L. Carlson
Arbitrator(s): Craig A. Gordon, Grant D. Sanders, Mary Ellen McGinnis
Hearing Site: Minneapolis, MN
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| 14-00253 | 10/09/2014 | Claimant(s): Philip Schouweiler
Claimant Lawyers(s): Ken D. Schueler
Respondent(s): N.I.S. Financial Services.
Respondent Lawyers(s): Larry W. Joye
Arbitrator(s): Kevin D. Hofman
Hearing Site: Minneapolis, MN
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| 13-02929 | 09/23/2014 | Claimant(s): James Kirk
Claimant Lawyers(s): Christopher P. Parrington
Respondent(s): Frank Mccarthy, Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Gerald M. Gifford, Emily B. Boote, Robert S. Burk
Hearing Site: Minneapolis, MN
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| 12-02075 | 03/06/2014 | Claimant(s): Katherine Williams
Claimant Lawyers(s): Christopher P. Parrington
Respondent(s): Daniel Rickett
Respondent Lawyers(s): Donald R. McNeil
Arbitrator(s): F. Chet Taylor, Andrew R. Dick, Phyllis Karasov
Hearing Site: Minneapolis, MN
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| 13-01412 | 02/11/2014 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Sean Kirby
Respondent(s): Lauren Ganz
Respondent Lawyers(s): Lauren Gail Ganz
Arbitrator(s): Andrew R. Dick
Hearing Site: Minneapolis, MN
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| 11-04057 | 02/07/2014 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph Keenan
Respondent(s): Avalon Partners.
Respondent Lawyers(s): Beatrice Cheah
Arbitrator(s): Renan I. Sugarman, Dennis Roger Ahlm, Laura Kate Wennik
Hearing Site: Minneapolis, MN
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| 12-00181 | 12/10/2013 | Claimant(s): Pruco Securities., The Prudential Insurance Co. of America
Claimant Lawyers(s): Lorie Almon
Respondent(s): Terry Sandvold
Respondent Lawyers(s): Thomas Jamison
Arbitrator(s): Daniel D. Hill
Hearing Site: Minneapolis, MN
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