Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-02840 | 10/06/2021 | Claimant(s): John Randolph Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): Philip J. Glick Hearing Site: Minneapolis, MN | ||
| 20-02996 | 07/06/2021 | Claimant(s): Daniel Steichen Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Sara B. Davis Arbitrator(s): Tracy L. Allen Hearing Site: Minneapolis, MN | ||
| 20-02994 | 06/15/2021 | Claimant(s): Jodi Miller-Hammes Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Leonard Arthur Nelson Hearing Site: Minneapolis, MN | ||
| 20-02936 | 04/21/2021 | Claimant(s): Eric Wegner Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Parkland Securities Respondent Lawyers(s): Randolph F. Pistor Arbitrator(s): Tracy L. Allen Hearing Site: Minneapolis, MN | ||
| 20-03115 | 04/20/2021 | Claimant(s): Michelle Young Claimant Lawyers(s): Jonathan M. Sterling Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Carl E. Ver Beek Hearing Site: Minneapolis, MN | ||
| 20-02937 | 04/07/2021 | Claimant(s): Eric Wegner Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Sigma Financial Corporation Respondent Lawyers(s): Randolph F. Pistor Arbitrator(s): Susan L. Walker Hearing Site: Minneapolis, MN | ||
| 20-02192 | 03/30/2021 | Claimant(s): Kelly Hoff Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Cambridge Investment Research. Respondent Lawyers(s): Richard Kuhlman Arbitrator(s): Philip J. Glick Hearing Site: Minneapolis, MN | ||
| 20-01330 | 03/25/2021 | Claimant(s): Gary Tangwall Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Thrivent Investment Management Inc. Respondent Lawyers(s): Jeffrey A. Ziesman Arbitrator(s): David Steven Paull Hearing Site: Minneapolis, MN | ||
| 20-02211 | 03/17/2021 | Claimant(s): Christopher Burque Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Kathy A. Tatone Hearing Site: Minneapolis, MN | ||
| 20-01505 | 02/17/2021 | Claimant(s): Jason Erickson Claimant Lawyers(s): Brian Luther Respondent(s): Capital Financial Services., United Planners' Financial Services Of A Respondent Lawyers(s): David B. Hauer, Gordon Dihle Arbitrator(s): Mark S. Gleason Hearing Site: Minneapolis, MN |