| 13-00264 | 07/24/2014 | Claimant(s): Norma Peters and Craig Shields
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Pamela H. Roderick, Sandra J. Mullings, Joseph I. Liebman
Hearing Site: New York, NY
|  | Expungement |
| 12-02911 | 04/15/2014 | Claimant(s): Iride Champion
Claimant Lawyers(s): Gary Menzer
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Celeste A. Beron
Hearing Site: Columbia, SC
| | $0 |
| 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 |
| 12-01317 | 01/07/2014 | Claimant(s): Jay Gloede
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Ameriprise Financial Services., Paul Pelikan
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): M. Michael Cramer, Mona Koppel Mitnick, Peter H. Goldberg
Hearing Site: Baltimore, MD
| | Expungement |
| 12-03469 | 11/07/2013 | Claimant(s): Leslie Stein
Claimant Lawyers(s): Patrick Gaffney
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
| | $600 |
| 12-02497 | 09/19/2013 | Claimant(s): James Halusky
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Baltimore, MD
| | Expungement |
| 12-00841 | 07/03/2013 | Claimant(s): Julius Padgett
Claimant Lawyers(s): Julius Ronald Padgett
Respondent(s): Ameriprise Financial Services., Timothy Gillis
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Randall T. Stack, Gregory D. Hoffmann, Jack A. Helms
Hearing Site: Tampa, FL
| | $0 |
| 12-01089 | 06/06/2013 | Claimant(s): Barbara Galowitz, Gerald Galowitz
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Langfred W. White, Carole M. Crosby, Mimi B. Osiason
Hearing Site: Tampa, FL
| | $0 |
| 11-02639 | 04/12/2013 | Claimant(s): Floyd Matheney, Mary Matheney, Floyd Matheney IRA, Mary Matheney IRA
Claimant Lawyers(s): David Liebrader
Respondent(s): Ameriprise Financial Services., Matthew Fournier
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): William C. Turner, Melvin S. Feldman, William Ogburn Huggins
Hearing Site: Las Vegas, NV
| | Expungement |
| 11-03766 | 03/08/2013 | Claimant(s): Lavaughn Boston, Mary Boston
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Amy Fuchs, Deborah Perry, Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): A. Ronald Tonks, Arthur L. Tepper, Enrico A. Mazzoli
Hearing Site: Nashville, TN
| | Expungement |
