15-03299 | 10/26/2017 | Claimant(s): Estate of Jack R. Willett Claimant Lawyers(s): Gail E. Boliver Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Joel M. Everest Arbitrator(s): Richard A. Mosman, Terry F. Peppard, Donald N. Tolin Hearing Site: Des Moines, IA
| | Expungement |
14-00954 | 07/01/2015 | Claimant(s): Athrea Hedrick, Grace Brown, Estate of Sidney E. Berquam, Sidney E. Berquam Revocable Trust Claimant Lawyers(s): Steven M. Phillips Respondent(s): Mark Holt Respondent Lawyers(s): Mark D. Holt Arbitrator(s): Richard A. Mosman, Thomas J. Gmeinder, Lavon C. Phillips Hearing Site: Minneapolis, MN
| | $497,190 |
13-00955 | 10/29/2014 | Claimant(s): Lorraine Witzel, Ralph Witzel Claimant Lawyers(s): Kalju Nekvasil Respondent(s): American Portfolios Financial Serv. Respondent Lawyers(s): Derek C. Anderson Arbitrator(s): Richard A. Mosman, Jeffrey W. Jacobs, Kathy A. Tatone Hearing Site: Minneapolis, MN
| | Expungement |
13-00269 | 05/19/2014 | Claimant(s): James D. Hera Revocable Trust Claimant Lawyers(s): Michael MacDonald Respondent(s): Michael Kinney Respondent Lawyers(s): Michael Thomas Kinney Arbitrator(s): Richard A. Mosman, Jack D. Elmquist, Brett W. Olander Hearing Site: Minneapolis, MN
| | $75,000 |
09-00988 | 10/26/2010 | Claimant(s): Ed Conlin & Associates Claimant Lawyers(s): Brent A. Lorentz Respondent(s): Kenneth Marchiol, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Jeffrey B. Kelvin, Kirsten Schubert Arbitrator(s): James A. Lundberg, Richard A. Mosman, Larry N. Litt Hearing Site: Minneapolis, MN
| | $0 |