| 14-03286 | 12/01/2015 | Claimant(s): Heather Law, Kenneth Law
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Michael P. Marryshow
Hearing Site: Philadelphia, PA
|  | $0 |
| 14-02940 | 11/20/2015 | Claimant(s): Marilyn Mungo, Thomas Mungo
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Stuart K. Furman
Hearing Site: Orlando, FL
| | Expungement |
| 14-01826 | 10/23/2015 | Claimant(s): Allan Levine
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Biagio A. Civale, Paul S. Biederman, Joseph I. Liebman
Hearing Site: New York, NY
| | Expungement |
| 14-02344 | 10/14/2015 | Claimant(s): Anthony J. Gimelli Revocable Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
| | Expungement |
| 14-02630 | 09/24/2015 | Claimant(s): Gordon Hirsch
Claimant Lawyers(s): Michael D. Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Thaddeus J. Tecza
Hearing Site: Albuquerque, NM
| | Expungement |
| 13-03730 | 09/04/2015 | Claimant(s): Nizam Meah, Griffin Capital (Westmont) Investor 19,
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Ameriprise Financial Services., Justin Swope
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): William R. Jonson, Stephen James Cavanaugh, John Chelsea Allman
Hearing Site: Houston, TX
| | Expungement |
| 14-02133 | 08/04/2015 | Claimant(s): Deanna Braun, Richard Braun
Claimant Lawyers(s): Jonathan E Neuman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Mark S. Foster, Larry R. Trussell, Michael D. Fitzgerald
Hearing Site: Omaha, NE
| | $43,999 |
| 15-00363 | 07/31/2015 | Claimant(s): Lesleigh Root
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | $31,757 |
| 14-01084 | 06/25/2015 | Claimant(s): Louise Blocker
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Raymond Nardo, Alfreida B. Kenny, John Michael Richardson
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 13-02854 | 06/15/2015 | Claimant(s): James Thomas, Laurel Thomas
Claimant Lawyers(s): Matthew H. Griffith
Respondent(s): Bruce Smith, Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Robert Steven Haught, David A. Laughlin, John R. Storm
Hearing Site: Oklahoma City, OK
| | $0 |
