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FINRA Awards for James H. Colburn

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0353409/02/2015Claimant(s): Constance P. Kolberg, IRRA, Bruce A. Kolberg & Constance P. Kolberg
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): James H. Colburn, Arlen G. Restad, Lavon C. Phillips
Hearing Site: Minneapolis, MN
Checkmark IconExpungement
12-0162602/12/2014Claimant(s): Frances Moening, Ronald Moening
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): James H. Colburn, Kathy A. Tatone, Steven M. Bialick
Hearing Site: Minneapolis, MN
Checkmark IconExpungement
10-0389901/17/2013Claimant(s): Jerry Jochims, Linda Govern, Rick Govern, Winton Boyd
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Thomas Berthel, Berthel, Fisher & Co. Financial Services
Respondent Lawyers(s): Vincent D. Louwagie
Arbitrator(s): Roger D. Johnson, Stephen C. Esposito, James H. Colburn
Hearing Site: Des Moines, IA
Checkmark Icon$0
07-0222903/11/2009Claimant(s): Katherine Knutson
Claimant Lawyers(s): Steven M. Phillips
Respondent(s): RBC Dain Rauscher.
Respondent Lawyers(s): John W. Shaw
Arbitrator(s): Douglas Randall Blohm, James H. Colburn, Edward C. Oliver
Hearing Site: Minneapolis, MN
Checkmark Icon$4,423,080

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