| 12-04108 | 10/10/2014 | Claimant(s): John Wellborn
Claimant Lawyers(s): Jonathan E. Newman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Kendall P. Hill, John D. Mattingly, Orville Barrington Wright
Hearing Site: Birmingham, AL
|  | $0 |
| 13-01538 | 09/19/2014 | Claimant(s): The Estate of Mary Elise Anderson
Claimant Lawyers(s): Alan R. Perry
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Bill Swinford, Randall S. Strause, Billy G. Hopkins
Hearing Site: Louisville, KY
| | $0 |
| 12-04298 | 09/10/2014 | Claimant(s): Rajinder Bhatia
Claimant Lawyers(s): Alice Holly Oshins
Respondent(s): Ameriprise Financial Services., Jared Cohen
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Alfred H. Kingon, James M. Rhodes, Stephen M. Schaedtler
Hearing Site: New York, NY
| | Expungement |
| 14-00051 | 08/27/2014 | Claimant(s): Joseph Ullman
Claimant Lawyers(s): Joseph Ullman
Respondent(s): Ameriprise Financial Services., Philip Higgins
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Andrew J. Gerber
Hearing Site: Albany, NY
| | $0 |
| 13-01740 | 08/20/2014 | Claimant(s): Juliet Miyahara
Claimant Lawyers(s): Alice L. Stewart
Respondent(s): Ameriprise Financial Services., Joanne Watanabe
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Honolulu, HI
| | $15,425 |
| 13-02937 | 08/05/2014 | Claimant(s): Matthew Pajestka
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Frank C. Fogl
Hearing Site: Cleveland, OH
| | $18,000 |
| 13-00671 | 07/29/2014 | Claimant(s): Paula Brainsky
Claimant Lawyers(s): Michael E. Levinson
Respondent(s): Ameriprise Financial Services., Whitney Cook
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
| | $675 |
| 13-00264 | 07/24/2014 | Claimant(s): Norma Peters and Craig Shields
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Pamela H. Roderick, Sandra J. Mullings, Joseph I. Liebman
Hearing Site: New York, NY
| | Expungement |
| 12-01585 | 06/18/2014 | Claimant(s): Lilred
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Ameriprise Financial Services., American Enterprise Investment Services
Respondent Lawyers(s): Neils P. Murphy
Arbitrator(s): Edward R. Niederriter, Howard L. Conklin
Hearing Site: Boca Raton, FL
| | $0 |
| 13-00878 | 06/02/2014 | Claimant(s): John Brasfield
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Matthew D. Klafter
Arbitrator(s): Helen E. Huyler
Hearing Site: Birmingham, AL
| | Expungement |
