| 10-03226 | 07/20/2011 | Claimant(s): Ann Ozark
Claimant Lawyers(s): Joseph L. Ozark
Respondent(s): Ameriprise Financial Services., Joyce Hoban
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Bernard Herman
Hearing Site: Philadelphia, PA
|  | $75 |
| 09-05884 | 02/18/2011 | Claimant(s): Woodrow & Joyce Vermillion
Claimant Lawyers(s): Randall S. Strause
Respondent(s): Dean Donohue, Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Allan Weiss
Hearing Site: Louisville, KY
| | Stipulated Award and Expungement |
| 08-01369 | 05/10/2010 | Claimant(s): Diane Zodikoff, John Rausch
Claimant Lawyers(s): Amanda P. Lenhart
Respondent(s): Ameriprise Advisor Services., Robert Bilo
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Peter L. Pointer, James P. McCrocklin, Edmund P. Pultinas
Hearing Site: Cincinnati, OH
| | $56,978 |
| 09-01789 | 05/06/2010 | Claimant(s): Robert Palumbo
Claimant Lawyers(s): Robert Palumbo
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Robert M. Goldstein, Lori H. Carena, Joan Marie Chiusano
Hearing Site: New York, NY
| | $0 |
| 09-00388 | 02/19/2010 | Claimant(s): Helen Prasil, John J. & Helen R. Prasil Rev.Trust
Claimant Lawyers(s): Christopher T Davis
Respondent(s): Ameriprise Financial Services., John Janes, Kari Douglas, Patty Nash, Randall Ehleringer, Ehleringer, Douglas & Associates
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Emily F. Seesel, Joyce G. Gordon, Richard W. Thiele
Hearing Site: Minneapolis, MN
| | Stipulated Award and Expungement |
| 09-00503 | 11/13/2009 | Claimant(s): Andrew Krynik
Claimant Lawyers(s): David C. Gunn
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Edward J. Lynch
Hearing Site: Dallas, TX
| | $18,039 |
| 07-03163 | 12/30/2008 | Claimant(s): Robert Bonds and Gilda Bonds
Claimant Lawyers(s): Dan K. Worthington
Respondent(s): Ameriprise Advisor Services., Robert Bullock
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): W. Merrill Glasgow, Timothy L. Andrews, William A. Allen
Hearing Site: Houston, TX
| | Expungement |
| 07-03419 | 07/14/2008 | Claimant(s): Jack Bush
Claimant Lawyers(s): Jack R. Bush
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Danielle L. Hargrove
Hearing Site: Houston, TX
| | $163 |
| 06-04416 | 10/25/2007 | Claimant(s): Franklin Fitch
Claimant Lawyers(s): Richard J. Edson
Respondent(s): Ameriprise Advisor Services., Manish Mukhi
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Paul Davis Pearlstein, Deborah Page Aune, Olivia Milbank Farrar
Hearing Site: Washington, DC
| | Stipulated Award and Expungement |
