| 12-01403 | 01/28/2014 | Claimant(s): Peter Kelly
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Anthony Nofi, Ameriprise Financial Services., H&R Block Financial Advisors n/k/a Ameri
Respondent Lawyers(s): Howard M. Klausmeier, Howard Klausmeier
Arbitrator(s): Howard M. Miller, Susan Largay, Thomas P. Bowman
Hearing Site: Boston, MA
|  | Expungement |
| 10-04703 | 01/28/2014 | Claimant(s): Jane Katzen
Claimant Lawyers(s): Alan Gilmore
Respondent(s): Frank Faverzani, Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): E. William Pastor, Glenn J. Hansen, Paul Ribner
Hearing Site: Philadelphia, PA
| | $375 |
| 13-00982 | 01/14/2014 | Claimant(s): Dorothy Allan's IRA
Claimant Lawyers(s): T. John Kirk
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Geddes D. Anderson
Arbitrator(s): Steven Ira Weinberger
Hearing Site: Boca Raton, FL
| | $11,408 |
| 12-01256 | 01/13/2014 | Claimant(s): Julie Amergian
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Robert S. Hark, Christopher C. Gorski, Peter L. Murray
Hearing Site: Augusta, ME
| | Expungement |
| 12-03447 | 01/09/2014 | Claimant(s): Joan McCauley
Claimant Lawyers(s): Joan McCauley
Respondent(s): Ameriprise Financial Services., Rush Hodgin
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Paul H. McKenna, Gregory P. Szuter, James G. Kirk
Hearing Site: Pittsburgh, PA
| | $0 |
| 12-01317 | 01/07/2014 | Claimant(s): Jay Gloede
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Ameriprise Financial Services., Paul Pelikan
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): M. Michael Cramer, Mona Koppel Mitnick, Peter H. Goldberg
Hearing Site: Baltimore, MD
| | Expungement |
| 12-01666 | 11/22/2013 | Claimant(s): Mary Georgiade
Claimant Lawyers(s): Brian R. Williams
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Ann Pinciss Berman
Hearing Site: New York, NY
| | $0 |
| 12-02416 | 11/19/2013 | Claimant(s): Betty Gallagher, Patrick Gallagher
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Patricia B. Lehtola, Anita M. Jean, Gerald Ray Waterston
Hearing Site: Dallas, TX
| | Expungement |
| 12-01398 | 11/13/2013 | Claimant(s): Janet M. Di Palma
Claimant Lawyers(s): Carlos A. Di Palma
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Sheldon M. Finkelstein, Edith M. Novack, Miriam Lefkowitz
Hearing Site: Newark, NJ
| | Expungement |
| 12-03469 | 11/07/2013 | Claimant(s): Leslie Stein
Claimant Lawyers(s): Patrick Gaffney
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
| | $600 |
