| 18-00211 | 04/11/2019 | Claimant(s): Cletus Gernes
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Arthur Richard Tow, Susan M. Sanger, William Joseph Caprathe
Hearing Site: Minneapolis, MN
|  | Expungement |
| 15-00770 | 03/06/2017 | Claimant(s): Michael Freese
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Waveland Capital Partners LLC
Respondent Lawyers(s): Brett G. Evans
Arbitrator(s): Thomas F. Mahoney, Arthur Richard Tow, Mark A. Frankel
Hearing Site: Des Moines, IA
| | $70,000 |
| 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 |
| 13-00137 | 03/03/2014 | Claimant(s): Cheryl Christiansen
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Terry F. Peppard, Arthur Richard Tow, Verne R. Gray
Hearing Site: Des Moines, IA
| | Expungement |
| 08-04425 | 05/14/2010 | Claimant(s): Guenther Roth
Claimant Lawyers(s): Thomas E. Jamison
Respondent(s): David Tysk, Ameriprise Financial Services.
Respondent Lawyers(s): John Rock
Arbitrator(s): Kathy A. Tatone, Arthur Richard Tow, Gary L. Hansen
Hearing Site: Minneapolis, MN
| | $466,000 |
| 06-05107 | 07/28/2009 | Claimant(s): Thomas Powell, Thomas L. Powell, IRA
Claimant Lawyers(s): Donald M. Feferman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): J. Jackson
Arbitrator(s): Robert E. Robertson, Lawrence R. Commers, Arthur Richard Tow
Hearing Site: Minneapolis, MN
| | $0 |
| 07-03069 | 10/02/2008 | Claimant(s): Jeffrey Nielsen, Evans Creek, Guaranty Escrow Of MN., Hidden Glade Properties
Claimant Lawyers(s): James K. Langdon
Respondent(s): Darin Beckering, Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Mark S. Gleason, Lee T. Beske, Arthur Richard Tow
Hearing Site: Minneapolis, MN
| | $542,340 |
