| 11-04056 | 01/25/2013 | Claimant(s): Craig Gould
Claimant Lawyers(s): J. Jackson
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Emily B. Boote, Leo G. Stern, Kathleen Sweeney Tillotson
Hearing Site: Minneapolis, MN
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| 11-01696 | 01/04/2013 | Claimant(s): Theodore Pavlovich
Claimant Lawyers(s): Theodore Adam Pavlovich
Respondent(s): Mark Mekler, Raymond, James & Associates.
Respondent Lawyers(s): Marko J. Mrkonich
Arbitrator(s): Douglas Randall Blohm, John W. MacKimm, Jo Anne F. Lewellen
Hearing Site: Minneapolis, MN
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| 12-00040 | 01/04/2013 | Claimant(s): Paul Alegi
Claimant Lawyers(s): Gregory R. Piche
Respondent(s): Lincoln Financial Distributors.
Respondent Lawyers(s): Nikole L. Canute
Arbitrator(s): Andrew R. Dick, Jeffrey A. Schuh, David F. Schmitz
Hearing Site: Minneapolis, MN
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| 12-00857 | 10/12/2012 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Scott T. Earl
Respondent(s): Peter Ryan
Respondent Lawyers(s): Peter Remington Ryan
Arbitrator(s): Emily B. Boote
Hearing Site: Minneapolis, MN
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| 12-00014 | 10/05/2012 | Claimant(s): Derek Cherne, Randall Green
Claimant Lawyers(s): Tracey Salmon-Smith
Respondent(s): David Domaas, John Smith, Brook West Profit Sharing Plan
Respondent Lawyers(s): Brook West Profit Sharing Plan, David Domaas, John Smith
Arbitrator(s): Lawrence J. Welte, Andrew R. Dick, Alain Frecon
Hearing Site: Minneapolis, MN
| | Expungement |
| 12-00419 | 09/25/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan S. Smith
Respondent(s): George Anastos
Respondent Lawyers(s): George J. Anastos
Arbitrator(s): Mark S. Gleason
Hearing Site: Minneapolis, MN
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| 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
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| 10-04681 | 08/08/2012 | Claimant(s): William Kiefer
Claimant Lawyers(s): William Kiefer
Respondent(s): Fintegra
Respondent Lawyers(s): Sandra Smalley-Fleming
Arbitrator(s): Gerald M. Gifford, Brett W. Olander, Leo G. Stern
Hearing Site: Minneapolis, MN
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| 11-02661 | 07/13/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): John Ekman
Respondent Lawyers(s): Robert Zeglovitch
Arbitrator(s): Andrew R. Dick
Hearing Site: Minneapolis, MN
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| 11-03514 | 07/06/2012 | Claimant(s): Randy Lacombe
Claimant Lawyers(s): John A. Nelson
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): John Stenson
Arbitrator(s): Phyllis Karasov
Hearing Site: Minneapolis, MN
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