| 17-01459 | 10/24/2017 | Claimant(s): Alan DeFlorio
Claimant Lawyers(s): Alan A. DeFlorio
Respondent(s): James Flynn
Respondent Lawyers(s): James Travis Flynn
Arbitrator(s): Steven M. Bialick
Hearing Site: Minneapolis, MN
|  | $0 |
| 16-03582 | 09/28/2017 | Claimant(s): Mark Heymans, Estate of Donn Burleigh, Estate of Olivia Schulz
Claimant Lawyers(s): Stacy P. Slaughter
Respondent(s): Mark Holt
Respondent Lawyers(s): Mark David Holt - Register No. 17865-041
Arbitrator(s): Lawrence J. Welte, Steven M. Bialick, Steven Eric Brandes
Hearing Site: Minneapolis, MN
| | $0 |
| 13-03696 | 08/20/2014 | Claimant(s): Debra Malone IRA
Claimant Lawyers(s): T. John Kirk
Respondent(s): Securities America.
Respondent Lawyers(s): Joel Wertman
Arbitrator(s): Steven M. Bialick
Hearing Site: Minneapolis, MN
| | $11,496 |
| 12-01626 | 02/12/2014 | Claimant(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
| | Expungement |
| 11-00118 | 12/07/2011 | Claimant(s): John Warnken
Claimant Lawyers(s): Robert B. Bauer
Respondent(s): Darrel Amiot
Respondent Lawyers(s): Darrel R. Amiot
Arbitrator(s): Brett W. Olander, Steven M. Bialick, Mary Louise Hilfiker
Hearing Site: Minneapolis, MN
| | $100,000 |
| 07-01783 | 10/06/2008 | Claimant(s): Pamela Schmidt, Pamela A. Schmidt Trust
Claimant Lawyers(s): Thomas P. Swigert
Respondent(s): Raymond James Financial Services., Thomas Shian
Respondent Lawyers(s): Erin Linehan, Thomas Shian
Arbitrator(s): Emily F. Seesel, Paul J. Hennen, Steven M. Bialick
Hearing Site: Minneapolis, MN
| | $145,300 |
