| 23-00823 | 06/26/2024 | Claimant(s): Stephen Groth
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Michael N. Ungar
Arbitrator(s): Susan H. Schleisner, Kevin J. Demet, Nathaniel Cade
Hearing Site: Milwaukee, WI
|  | $200,000 |
| 23-00526 | 06/07/2024 | Claimant(s): Kurt Cichy, Michelle Cichy
Claimant Lawyers(s): David Meyer
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Michael N. Ungar
Arbitrator(s): Charles D. Hays, Raymond P. Buschmann, Timothy Schoewe
Hearing Site: Milwaukee, WI
| | $0 |
| 23-02654 | 02/22/2024 | Claimant(s): Kathleen Adams
Claimant Lawyers(s): Kathleen Adams
Respondent(s): Daniel Needler, U.S. Bancorp Investments.
Respondent Lawyers(s): Shawn Larsen-Bright
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
| | $0 |
| 19-01276 | 08/11/2022 | Claimant(s): David Budzianowski, D Budzianowski H Daftarian JTWROS
Claimant Lawyers(s): Marnie C. Lambert
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Michael N. Ungar
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Cincinnati, OH
| | $22,500 |
| 20-03807 | 03/12/2021 | Claimant(s): Douglas Bjornson
Claimant Lawyers(s): Jennifer A. Bjornson-Gillespie
Respondent(s): Gail Van Horn, Katherine Whelan, Kevin Christ, U.S. Bancorp Investments.
Respondent Lawyers(s): John Rock
Arbitrator(s): Dean J. Dietrich, Gerry A. Gunderson, Jo Anne F. Lewellen
Hearing Site: Bismarck, ND
| | Dismissed by Rule 12206 |
| 18-02578 | 03/27/2019 | Claimant(s): William Moultrie
Claimant Lawyers(s): William A. Moultrie
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): John Rock
Arbitrator(s): James J. Stamos
Hearing Site: Chicago, IL
| | $0 |
| 17-02269 | 09/10/2018 | Claimant(s): GWYN I Mack Trust u/a dated 7/30/14
Claimant Lawyers(s): Lawrence W. Byrne
Respondent(s): Steven Below, U.S. Bancorp Investments.
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Theodore W. Wrobleski, Lynn Hirschfeld Brahin, Stephen Conrad Fedota
Hearing Site: Chicago, IL
| | $0 |
| 17-01857 | 09/05/2018 | Claimant(s): IRA of Jonathan M. Seltzer, IRA of Susan O. Seltzer, SEP IRA of Jonathan M. Seltzer, Rev Trust of Jonathan M. Seltzer, Rev Trust of Susan O. Seltzer
Claimant Lawyers(s): Jonathan and Susan Seltzer
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Shawn Larsen Bright
Arbitrator(s): Ilene T. Gormly, Tina Alison Davis, Rick Gale Doty
Hearing Site: Denver, CO
| | $0 |
| 17-02075 | 01/24/2018 | Claimant(s): Alan Hunt
Claimant Lawyers(s): Alan Carl Hunt
Respondent(s): Katherine White, U.S. Bancorp Investments.
Respondent Lawyers(s): Bruce Gisi, Katherine A. White
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Chicago, IL
| | $0 |
| 15-02590 | 06/06/2016 | Claimant(s): Arline Schaubach
Claimant Lawyers(s): Nicole Iannarone
Respondent(s): Tim Gerds, U.S. Bancorp Investments.
Respondent Lawyers(s): John Rock
Arbitrator(s): Rody P. Biggert
Hearing Site: Milwaukee, WI
| | $5,200 |
