| 20-02622 | 02/11/2021 | Claimant(s): James Goodland
Claimant Lawyers(s): Brian Luther
Respondent(s): Cambridge Investment Research., Spire Securities
Respondent Lawyers(s): Max Schatzow, Richard H. Kuhlman
Arbitrator(s): Gregory G. Gocek
Hearing Site: Minneapolis, MN
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| 20-01328 | 01/13/2021 | Claimant(s): Gary Tangwall
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Jeffrey A. Ziesman
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Minneapolis, MN
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| 20-00024 | 12/14/2020 | Claimant(s): Deborah Sandeno
Claimant Lawyers(s): F. Chet Taylor
Respondent(s): The Oak Ridge Financial Services Group,
Respondent Lawyers(s): Lisa M. Lamm Bachman
Arbitrator(s): Phyllis Karasov, Paul J. Hennen, Frank Abramson
Hearing Site: Minneapolis, MN
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| 20-02072 | 12/10/2020 | Claimant(s): Michael Koob
Claimant Lawyers(s): Ansis V. Viksnins
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Barry Goldman, LaVon C. Phillips, Matthew E. Piermantier
Hearing Site: Minneapolis, MN
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| 20-00975 | 11/29/2020 | Claimant(s): Debra Kuper
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Susan L. Walker
Hearing Site: Minneapolis, MN
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| 20-01662 | 11/25/2020 | Claimant(s): Michael Schumacher
Claimant Lawyers(s): Christopher R. Sall
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Phyllis Karasov
Hearing Site: Minneapolis, MN
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| 19-03484 | 11/09/2020 | Claimant(s): Atul Bhatia
Claimant Lawyers(s): Atul Kumar Bhatia
Respondent(s): EFG Capital International
Respondent Lawyers(s): Jonathan S. Robbins
Arbitrator(s): James A. Lundberg, Peter N. Thompson, Frederick Ramos
Hearing Site: Minneapolis, MN
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| 20-00868 | 11/06/2020 | Claimant(s): Steven Ferretti
Claimant Lawyers(s): Brian Luther
Respondent(s): Morgan Stanley DW Inc., AIG Capital Services.
Respondent Lawyers(s): Jeremy S. Winer, Michael S. Cargnel
Arbitrator(s): Steven M. Bialick
Hearing Site: Minneapolis, MN
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| 20-02075 | 10/26/2020 | Claimant(s): Capital Financial Services.
Claimant Lawyers(s): Gordon D. Dihle
Respondent(s): Steven Knuttila
Respondent Lawyers(s): Steven Roland Knuttila
Arbitrator(s): Steven M. Bialick
Hearing Site: Minneapolis, MN
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| 20-00969 | 10/16/2020 | Claimant(s): Michael Hess
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
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