| 21-00296 | 01/21/2022 | Claimant(s): Marjorie Ullerich
Claimant Lawyers(s): F. Chet Taylor
Respondent(s): Independent Financial Group.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Phyllis Karasov, Michael S. Jordan, Alain Frecon
Hearing Site: Minneapolis, MN
|  | $170,425 |
| 18-03572 | 12/07/2021 | Claimant(s): Stine Seed Farm.
Claimant Lawyers(s): Patricia L. Vannoy
Respondent(s): D.A. Davidson & Co.
Respondent Lawyers(s): James K. Langdon
Arbitrator(s): Alain Frecon, Brett Coonrod, Deborah Kristine Gilg
Hearing Site: Des Moines, IA
| | $750 |
| 19-02405 | 08/11/2021 | Claimant(s): Estate of Joseph A. Muff
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Woodbury Financial Services., Hartford Funds Distributors
Respondent Lawyers(s): Greg Curley, Keraya S. Jefferson
Arbitrator(s): Jack D. Elmquist, Alain Frecon, Michael Anthony Pysno
Hearing Site: Des Moines, IA
| | $100,000 |
| 18-04014 | 02/03/2021 | Claimant(s): JC McCall Revocable Trust
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Carmine Berardi, Jonathan McCormack, Philip Sparacino, Robert Spiegel, William Gennity, First Standard Financial Company LLC
Respondent Lawyers(s): Craig A. Riha, Martin H. Kaplan
Arbitrator(s): Alain Frecon
Hearing Site: Des Moines, IA
| | $114,383 |
| 20-01028 | 01/13/2021 | Claimant(s): Diane Ranck, Robert Ranck
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Cory D. Olson
Arbitrator(s): Tracy L. Allen, Alain Frecon, John Edward Jackson
Hearing Site: Des Moines, IA
| | Dismissed by Rule 12206 |
| 20-01786 | 10/26/2020 | Claimant(s): Mark Dalrymple
Claimant Lawyers(s): Kyle M. Kulzer
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin, Esq.
Arbitrator(s): Alain Frecon
Hearing Site: Minneapolis, MN
| | Settlement |
| 17-02617 | 11/20/2019 | Claimant(s): Kevin Rouse
Claimant Lawyers(s): Kevin Rouse
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Alain Frecon, Mary Louise Hilfiker, Robert Meredith Altman-Segal
Hearing Site: Minneapolis, MN
| | Rule 12504(b) |
| 14-01439 | 02/28/2018 | Claimant(s): Mary Anderson, William Anderson, A.M. Anderson Properties, L.C., Anderson Properties., NNN Parkway Corporate Plaza 21, Mark Anderson Properties
Claimant Lawyers(s): Steven V. Hunter
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Paul D. Gamez
Arbitrator(s): Donald N. Tolin, Verne R. Gray, Alain Frecon
Hearing Site: Des Moines, IA
| | Dismissed by Rule 12206 |
| 15-03309 | 01/18/2017 | Claimant(s): Laudine L. Ploetz, 1985 Trust
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ryan G. Fant
Arbitrator(s): Barry Goldman, Jeffrey W. Jacobs, Alain Frecon
Hearing Site: Minneapolis, MN
| | $0 |
| 12-04043 | 06/13/2014 | Claimant(s): Carol Eckerman, Ronald Eckerman, Carol J. Eckerman Trust
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Patricia Monat, Monat Financial Services, Monat Wealth Management, SII Investments.
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): Evonne A. Hurst, Bruce Brown, Alain Frecon
Hearing Site: Des Moines, IA
| | Expungement |
