| 22-02737 | 06/06/2024 | Claimant(s): Rosenau Family Research Foundation
Claimant Lawyers(s): Donald R. McNeil
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Jeffrey W. Jacobs, Leo G. Stern, Joseph Darwin Kenyon
Hearing Site: Minneapolis, MN
|  | $7,342,000 |
| 22-00450 | 07/25/2022 | Claimant(s): Todd T. Frisch
Claimant Lawyers(s): Todd T. Frisch
Respondent(s): Jonathan Krueger
Respondent Lawyers(s): Jonathan Paul Krueger
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
| | $0 |
| 21-01024 | 04/19/2022 | Claimant(s): Eugene Elvecrog, Paula Elvecrog, Eugene L. Elvecrog IRA, Eugene L. Elvecrog Family Income Trust, Eugene L. Elvecrog Trust, Paula M. Elvecrog Family Income Trust, Paula M. Elvecrog Trust
Claimant Lawyers(s): Michael Sutton MacDonald
Respondent(s): Anne Machesky, Ryan Haag, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Frederick Ramos, Leo G. Stern
Hearing Site: Minneapolis, MN
| | Expungement |
| 21-01192 | 01/28/2022 | Claimant(s): Reinhold Kunze
Claimant Lawyers(s): Thomas S. Reavely
Respondent(s): Myles Easter
Respondent Lawyers(s): Mark W. Thomas
Arbitrator(s): Leo G. Stern
Hearing Site: Des Moines, IA
| | $30,150 |
| 19-02196 | 11/12/2021 | Claimant(s): Michael Meyers
Claimant Lawyers(s): Michael MacDonald
Respondent(s): John Santariello
Respondent Lawyers(s): John Joseph Santariello
Arbitrator(s): Jack D. Elmquist, Leo G. Stern, John (Jack) Louis Neveaux
Hearing Site: Minneapolis, MN
| | $358,098 |
| 19-00571 | 08/04/2021 | Claimant(s): Darla D. Ward, Lawrence J. Ward
Claimant Lawyers(s): F. Chet Taylor
Respondent(s): Cheryl Romann, Donald Waage, John Carlson, Steven Knuttila, Capital Financial Services.
Respondent Lawyers(s): Cheryl Lynn Romann, David A. Baugh, Donald Waage, Gordon Dihle, Steven R. Knuttila
Arbitrator(s): Douglas J. Nesbit, Phyllis Karasov, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $939,300 |
| 18-02536 | 08/12/2019 | Claimant(s): Joan Mayes
Claimant Lawyers(s): Ralph W. Heninger
Respondent(s): LPL Financial LLC, Jeff Newburn
Respondent Lawyers(s): Brian Harlan, Dochtor Kennedy
Arbitrator(s): Leo G. Stern
Hearing Site: Des Moines, IA
| | Expungement |
| 17-02191 | 03/05/2019 | Claimant(s): Doyle Kjellsen, Karen Kjellsen
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Morgan Stanley, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Demian J Betz, Jeremy S. Winer
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
| | $0 |
| 18-00977 | 08/22/2018 | Claimant(s): Marc Lowenthal, UTMA
Claimant Lawyers(s): Garry Lowenthal
Respondent(s): Feltl & Company
Respondent Lawyers(s): Mitchell Edwards
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
| | $88 |
| 15-00401 | 12/06/2016 | Claimant(s): Julie Koch, Larry Koch, Koch Partners, L.P.
Claimant Lawyers(s): Jesse H Kibort
Respondent(s): UBS Financial Services Inc., Susan Blount
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Jeffrey W. Jacobs, Arthur Richard Tow, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $0 |
