| 08-00826 | 07/27/2009 | Claimant(s): Deborah Pederson
Claimant Lawyers(s): William J. Egan
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Melissa Raphan
Arbitrator(s): Joyce G. Gordon, Arthur Richard Tow, Brett W. Olander
Hearing Site: Minneapolis, MN
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| 08-04452 | 05/06/2009 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Christopher Hince
Respondent Lawyers(s): Christopher Michael Hince
Arbitrator(s): Jerry M. Helfand
Hearing Site: Minneapolis, MN
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| 08-00018 | 02/03/2009 | Claimant(s): David DeYoung, Lorrie Turvold
Claimant Lawyers(s): James H. Kaster
Respondent(s): Marc Kozberg, Michael Leonard, The Oak Ridge Financial Services Group,
Respondent Lawyers(s): Terrence J. Fleming
Arbitrator(s): Frederick Ramos, David A. Peterson, Frank Abramson
Hearing Site: Minneapolis, MN
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| 07-03257 | 11/25/2008 | Claimant(s): Stephen Jans
Claimant Lawyers(s): Oliver E. Nelson
Respondent(s): Kevin Miller, Fringe Benefits Design Of Minnesota, Intervest International Equities Corpora, Intervest International.
Respondent Lawyers(s): Marnie L. DeWall, Melissa D. Hubbard
Arbitrator(s): Edward C. Oliver, Andrew R. Dick, JD Haas
Hearing Site: Minneapolis, MN
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| 07-02797 | 10/15/2008 | Claimant(s): John Anderson
Claimant Lawyers(s): Steven E. Rau
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Brent J. Burtin
Arbitrator(s): William J. Rosso, Richard W. Thiele, John D. Campion
Hearing Site: Minneapolis, MN
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| 07-02585 | 09/30/2008 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Aaron R. Hartman
Respondent(s): Andrew Bjornlie, James Bjornlie, RBC Dain Rauscher.
Respondent Lawyers(s): Peter J. Meyer
Arbitrator(s): Judith A. Rogosheske, James A. Lundberg, Gary L. Hansen
Hearing Site: Minneapolis, MN
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| 07-01001 | 02/14/2008 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Monica Liska
Respondent Lawyers(s): Monica M. Liska
Arbitrator(s): Lee T. Beske, Christopher Daniel Gryzen, David A. Peterson
Hearing Site: Minneapolis, MN
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| 03-05904 | 11/30/2007 | Claimant(s): Alyson Johansen
Claimant Lawyers(s): Gary A. Weissman
Respondent(s): Washington Square Securities.
Respondent Lawyers(s): Kenneth L. Dobkin
Arbitrator(s): Albert A. Woodward, Frederick Ramos, Frederick C. Brown
Hearing Site: Minneapolis, MN
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