| 11-01872 | 12/14/2012 | Claimant(s): Barbara Istas, James Istas
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise Johnson
Arbitrator(s): Andrew R. Dick, Peter N. Thompson, Brett W. Olander
Hearing Site: Minneapolis, MN
|  | Expungement |
| 10-02754 | 04/09/2012 | Claimant(s): Craig Larmon, Steven Badeau, Geneva BCCX XVIII, Geneva FTCX I, Geneva OSWX XII, Geneva OSWX XXII, Geneva OSWX XXXVI
Claimant Lawyers(s): Margaret A. Goetze
Respondent(s): Dan Werry, Daniel Wegmann, Eric Swenson, Frederick Fisher, Ameriprise Financial Services., Leslie Smith, Richard Murphy, Ronald Brendengen, Shelley Davenport, Thomas Berthel, 1031 & TIC Investments, Berthel, Fisher & Co. Financial Services, Omni Brokerage.
Respondent Lawyers(s): Britta Schnoor Loftus, Robert T. Matsuishi, Stephen J. Holtman
Arbitrator(s): Andrew R. Dick, Grant D. Sanders, Morton H. Greenberg
Hearing Site: Minneapolis, MN
| | $0 |
| 10-01154 | 11/03/2011 | Claimant(s): Ernest Perea, Rita Perea
Claimant Lawyers(s): Thomas S. Reavely
Respondent(s): Ameriprise Financial Services., Michael Franke, Ryan Surber
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Herbert S. Bratt, Andrew R. Dick, Daniel E. Wright
Hearing Site: Des Moines, IA
| | Expungement |
| 09-04932 | 11/10/2010 | Claimant(s): RSA 1 Limited Partnership
Claimant Lawyers(s): Stanley J. Thompson
Respondent(s): Duane Sturm, Raymond James Financial Services., Raymond, James & Associates.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Andrew R. Dick, Mark S. Gleason, Steven C. Despotovich
Hearing Site: Des Moines, IA
| | Auction Rate Securities related |
| 08-04256 | 11/06/2009 | Claimant(s): Michael and Ann Gibson Trust
Claimant Lawyers(s): Michael Gibson
Respondent(s): Interactive Brokers LLC, M&A Gibson d/b/a Investment Enterprises
Respondent Lawyers(s): Juli Aylesworth, Michael Gibson
Arbitrator(s): Douglas Randall Blohm, Andrew R. Dick, Craig A. Gordon
Hearing Site: Minneapolis, MN
| | $0 |
| 07-02458 | 08/15/2008 | Claimant(s): Amit Sela
Claimant Lawyers(s): Thomas E. Propson
Respondent(s): Jeffrey Schachtman, Oak Ridge Financial Services Group, In
Respondent Lawyers(s): Christopher Grgurich
Arbitrator(s): Judith A. Rogosheske, Andrew R. Dick, Julie A. Hennen
Hearing Site: Minneapolis, MN
| | Stipulated Award and Expungement |
