23-02971 | 06/04/2024 | Claimant(s): Bryan Knudson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Phyllis Karasov Hearing Site: Des Moines, IA
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23-01477 | 05/09/2024 | Claimant(s): Joseph Swanson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Principal Securities. Respondent Lawyers(s): Kathryn Roe Eldridge Arbitrator(s): Phyllis Karasov Hearing Site: Minneapolis, MN
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23-02306 | 04/02/2024 | Claimant(s): Timothy Derouin Claimant Lawyers(s): Patrick E. Brookhouser Respondent(s): Northwestern Mutual Investment Services, Respondent Lawyers(s): Clarke C. Greene Arbitrator(s): Leah Murray Albert, Phyllis Karasov, Danielle L. Anderson Hearing Site: Des Moines, IA
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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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20-01662 | 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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19-02345 | 06/01/2020 | Claimant(s): Jay Thorp Claimant Lawyers(s): F. Chet Taylor Respondent(s): LPL Financial LLC Respondent Lawyers(s): Neil S. Baritz Arbitrator(s): Phyllis Karasov, Grant D. Sanders, Buffie Ann Blesi Hearing Site: Minneapolis, MN
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19-02291 | 03/23/2020 | Claimant(s): Tiow Chan Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): Securities America. Respondent Lawyers(s): Tyler Schubauer Arbitrator(s): Phyllis Karasov Hearing Site: Minneapolis, MN
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18-04241 | 07/16/2019 | Claimant(s): Michael Hogan Claimant Lawyers(s): Matthew Wolper Respondent(s): Voya Financial Advisors. Respondent Lawyers(s): Christina Z. Vourakis Arbitrator(s): Phyllis Karasov Hearing Site: Minneapolis, MN
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12-02075 | 03/06/2014 | Claimant(s): Katherine Williams Claimant Lawyers(s): Christopher P. Parrington Respondent(s): Daniel Rickett Respondent Lawyers(s): Donald R. McNeil Arbitrator(s): F. Chet Taylor, Andrew R. Dick, Phyllis Karasov Hearing Site: Minneapolis, MN
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11-03514 | 07/06/2012 | Claimant(s): Randy Lacombe Claimant Lawyers(s): John A. Nelson Respondent(s): Wedbush Securities Inc. Respondent Lawyers(s): John Stenson Arbitrator(s): Phyllis Karasov Hearing Site: Minneapolis, MN
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