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FINRA Awards for Leo G. Stern

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Displaying 11-20 out of 23 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0149408/08/2016Claimant(s): Mark Savage, M1 Capital Advisors LLC
Claimant Lawyers(s): Samuel M. Johnson
Respondent(s): Halcyon Cabot Partners, Ltd.
Respondent Lawyers(s): Ronald Heineman
Arbitrator(s): Douglas Randall Blohm, Frederick Ramos, Leo G. Stern
Hearing Site: Minneapolis, MN
Checkmark Icon$132,925
15-0335406/15/2016Claimant(s): Farbod Farahan
Claimant Lawyers(s): Farbod Farahan
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
Checkmark Icon$0
15-0070105/31/2016Claimant(s): Ted Mazurek
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Oppenheimer & Co.., John Wilson
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Emily B. Boote, David F. Schmitz, Leo G. Stern
Hearing Site: Minneapolis, MN
Checkmark Icon$0
14-0237805/13/2015Claimant(s): Joseph & Sharon Nielsen
Claimant Lawyers(s): Joseph A. Nielsen
Respondent(s): Sogotrade.
Respondent Lawyers(s): Robert J. Benbenek
Arbitrator(s): Julie A. Hennen, Donald Ray McNeil, Leo G. Stern
Hearing Site: Minneapolis, MN
Checkmark Icon$0
13-0083010/17/2014Claimant(s): Thomas Mayberry
Claimant Lawyers(s): James S. McCarthy
Respondent(s): John Thomas Financial
Respondent Lawyers(s): Joseph Castellano
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
Checkmark IconStipulated Award
13-0291405/23/2014Claimant(s): John Van Ingen
Claimant Lawyers(s): John Van Ingen
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
Checkmark Icon$25
10-0198104/01/2013Claimant(s): Kristin Brown, Scott Haney
Claimant Lawyers(s): Samuel Tenenbaum
Respondent(s): Wells Fargo Investments, Kevin Shimota
Respondent Lawyers(s): Vanessa Hoffmann
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
Checkmark IconExpungement
11-0433103/07/2013Claimant(s): Dale Stamer, Dan Schroeder, Darla Severding, David Steinke, Dennis Tucker, Dianna Sheets, Don Severding, Donna Medinger, Grant Christianson, Jerry Hartnell, Julie Schroeder, Kirk Sims, Lori Baylor, Michael Stamer, Neil Case, Pat Tucker, Patricia O'Callaghan, Randy Kingery, Richard Beltz, Rita Beltz, et al
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Thomas Berthel, Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Cory D. Olson
Arbitrator(s): Leo G. Stern, Thomas L. Dueber, Grant D. Sanders
Hearing Site: Des Moines, IA
Checkmark Icon$0
09-0329906/29/2011Claimant(s): Joel LeVahn, Jolene LeVahn
Claimant Lawyers(s): Lisa M. Lamm
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Peter Eckerline
Respondent Lawyers(s): Jaime H. Scivley
Arbitrator(s): Roger D. Johnson, Joan L. Volz, Leo G. Stern
Hearing Site: Minneapolis, MN
Checkmark Icon$0
09-0357705/19/2010Claimant(s): Richard Johnson
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Michael Wittenberg
Respondent Lawyers(s): Michael Scott Wittenberg
Arbitrator(s): Lawrence R. Commers, John R. Kelly, Leo G. Stern
Hearing Site: Minneapolis, MN
Checkmark Icon$170,521

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