| 12-02826 | 01/25/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Joshua Maddux
Respondent Lawyers(s): Joshua A. Maddux
Arbitrator(s): Jeffrey A. Schuh, Leo G. Stern, John M. James
Hearing Site: Minneapolis, MN
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| 12-03961 | 01/25/2016 | Claimant(s): Joshua Maddux
Claimant Lawyers(s): Joshua Aaron Maddux
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kitoh Grey
Arbitrator(s):
Hearing Site: Minneapolis, MN
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| 13-02569 | 11/13/2015 | Claimant(s): Michelle Petersen
Claimant Lawyers(s): Brock J. Specht
Respondent(s): Allianz Life Financial Services
Respondent Lawyers(s): Jodie F. Weinstein
Arbitrator(s): Lawrence R. Commers, Robert Lee Nelson, Robert Drae Venters
Hearing Site: Minneapolis, MN
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| 15-01910 | 11/09/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): William M. Getzoff
Hearing Site: Minneapolis, MN
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| 14-01955 | 07/17/2015 | Claimant(s): Thomas Ottman
Claimant Lawyers(s): Jonathan M. Harris
Respondent(s): John Feltl, Mary Feltl, Feltl & Company
Respondent Lawyers(s): Matthew T. Boos, Thomas F. Steichen
Arbitrator(s): Joan L. Volz, John W. MacKimm, Frank Abramson
Hearing Site: Minneapolis, MN
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| 14-01307 | 07/16/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
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| 14-00499 | 04/02/2015 | Claimant(s): Benjamin F. Edwards & Company.
Claimant Lawyers(s): Joseph W. Anthony
Respondent(s): Janel Goff
Respondent Lawyers(s): Donald R. McNeil
Arbitrator(s): Bruce J. Nerland, Brett W. Olander, Leo G. Stern
Hearing Site: Minneapolis, MN
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| 13-00953 | 01/26/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Robert Brooks
Respondent Lawyers(s): Robert Jay Brooks
Arbitrator(s): Lawrence R. Commers, Julie A. Hennen, Frederick Ramos
Hearing Site: Minneapolis, MN
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| 14-01098 | 01/13/2015 | Claimant(s): CliftonLarsonAllen Wealth Advisors
Claimant Lawyers(s): David P. Jendrzejek
Respondent(s): Jean Wolfe
Respondent Lawyers(s): Donald R. McNeil
Arbitrator(s): Lawrence R. Commers, Terrence J. Fleming, Thomas J. Gmeinder
Hearing Site: Minneapolis, MN
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| 13-03590 | 11/28/2014 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Brian Murphy
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Kathy A. Tatone, Robert D. Lawson, Mary Ellen McGinnis
Hearing Site: Minneapolis, MN
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