| 16-02807 | 12/29/2017 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Travis Chapin
Respondent(s): Sean Daly
Respondent Lawyers(s): Sean Declan Daly
Arbitrator(s): F. Chet Taylor, Leo G. Stern, Frank Abramson
Hearing Site: Minneapolis, MN
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| 16-03007 | 12/15/2017 | Claimant(s): John Pitz
Claimant Lawyers(s): Christopher D. Pham
Respondent(s): Vestax Securities Corporation
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Douglas J. Nesbit
Hearing Site: Minneapolis, MN
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| 16-00450 | 08/31/2017 | Claimant(s): Prospera Financial Services.
Claimant Lawyers(s): Niel Prosser
Respondent(s): Alan Luttman
Respondent Lawyers(s): Donald R. McNeil
Arbitrator(s): David Evans Rosedahl, Kevin D. Hofman, Frederick Ramos
Hearing Site: Minneapolis, MN
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| 16-03159 | 08/25/2017 | Claimant(s): Jeffrey Thoele
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Next Financial Group., The O.N. Equity Sales Company, Walnut Street Securities.
Respondent Lawyers(s): Jeremy Carr, John Unger, Mark E. Elsener
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
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| 16-03084 | 08/17/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Bruce Lewitas
Respondent(s): Lisa Schesso
Respondent Lawyers(s): Lisa Kay Schesso
Arbitrator(s): William M. Getzoff
Hearing Site: Minneapolis, MN
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| 16-02706 | 03/03/2017 | Claimant(s): KBS Capital Markets Group LLC
Claimant Lawyers(s): Eric S. Beane
Respondent(s): Jason Johnson
Respondent Lawyers(s): Elizabeth Ridley Gelderman
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
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| 15-03342 | 01/06/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Douglas Hyman
Respondent(s): Steven Kajala
Respondent Lawyers(s): Jesse H. Kibort
Arbitrator(s): Douglas Randall Blohm
Hearing Site: Minneapolis, MN
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| 13-02892 | 12/06/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Patrick G. King
Respondent(s): Christopher Johnson, Randall Johnson
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Robert E. Robertson, Emily B. Boote, Douglas J. Nesbit
Hearing Site: Minneapolis, MN
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| 16-00561 | 06/30/2016 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Michelle Leisen, Wealth Planning Group
Respondent Lawyers(s): Joel Schroeder
Arbitrator(s): AnnDrea M. Benson, Rolf V. Aronsen, Susan M. Sanger
Hearing Site: Minneapolis, MN
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| 15-01780 | 05/24/2016 | Claimant(s): Marc Kalter
Claimant Lawyers(s): Timothy Feil
Respondent(s): Gary Thome
Respondent Lawyers(s): Hilton Weiner
Arbitrator(s): Charles Orlove, Kerry C. Koep, Frank Abramson
Hearing Site: Minneapolis, MN
| | Expungement |
