| 16-01119 | 01/26/2018 | Claimant(s): Deborah Barnes
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Donald N. Tolin, Jon Richard Catten, Constance B. White
Hearing Site: Salt Lake City, UT
|  | Expungement |
| 16-02084 | 12/22/2017 | Claimant(s): Giovanni Lanza, Mariantonia Lanza
Claimant Lawyers(s): Edwin L. Doernberger
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Robert Titus, Morton S. Bunis, Peter Andrew Marx
Hearing Site: Boston, MA
| | $0 |
| 16-00783 | 07/31/2017 | Claimant(s): Joseph Devaney, Mary Devaney
Claimant Lawyers(s): Adrian Mendoza
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
| | Expungement |
| 16-00348 | 04/19/2017 | Claimant(s): Steven Zap Entertainment 401(k) Profit S
Claimant Lawyers(s): Cristina Hernandez
Respondent(s): Alec Pedersen, Eric Smutko, Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-02854 | 06/15/2015 | Claimant(s): James Thomas, Laurel Thomas
Claimant Lawyers(s): Matthew H. Griffith
Respondent(s): Bruce Smith, Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Robert Steven Haught, David A. Laughlin, John R. Storm
Hearing Site: Oklahoma City, OK
| | $0 |
| 13-01740 | 08/20/2014 | Claimant(s): Juliet Miyahara
Claimant Lawyers(s): Alice L. Stewart
Respondent(s): Ameriprise Financial Services., Joanne Watanabe
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Honolulu, HI
| | $15,425 |
| 12-01403 | 01/28/2014 | Claimant(s): Peter Kelly
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Anthony Nofi, Ameriprise Financial Services., H&R Block Financial Advisors n/k/a Ameri
Respondent Lawyers(s): Howard M. Klausmeier, Howard Klausmeier
Arbitrator(s): Howard M. Miller, Susan Largay, Thomas P. Bowman
Hearing Site: Boston, MA
| | Expungement |
| 12-03447 | 01/09/2014 | Claimant(s): Joan McCauley
Claimant Lawyers(s): Joan McCauley
Respondent(s): Ameriprise Financial Services., Rush Hodgin
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Paul H. McKenna, Gregory P. Szuter, James G. Kirk
Hearing Site: Pittsburgh, PA
| | $0 |
| 12-01666 | 11/22/2013 | Claimant(s): Mary Georgiade
Claimant Lawyers(s): Brian R. Williams
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Ann Pinciss Berman
Hearing Site: New York, NY
| | $0 |
| 11-01804 | 01/31/2013 | Claimant(s): Candace Parkin, Robert Rubens
Claimant Lawyers(s): Robert Rubens
Respondent(s): Gerry Kostuk, Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Ralph M. Goren
Hearing Site: Chicago, IL
| | Expungement |
