| 12-02957 | 06/24/2013 | Claimant(s): Helen Hall
Claimant Lawyers(s): Thomas F. Shine
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Gayle B. Carlson
Hearing Site: Orlando, FL
|  | $11,657 |
| 12-01089 | 06/06/2013 | Claimant(s): Barbara Galowitz, Gerald Galowitz
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Langfred W. White, Carole M. Crosby, Mimi B. Osiason
Hearing Site: Tampa, FL
| | $0 |
| 09-05316 | 04/17/2013 | Claimant(s): Shahin Aarabi
Claimant Lawyers(s): Mark T. Hiraide
Respondent(s): Ameriprise Financial Services., Yousef Jamshidipour
Respondent Lawyers(s): David L. Casterline, Matthew D. Klafter
Arbitrator(s): Edward A. Trabin, Linda L. Drummond, Milton N. Gross
Hearing Site: Los Angeles, CA
| | $82,656 |
| 11-02639 | 04/12/2013 | Claimant(s): Floyd Matheney, Mary Matheney, Floyd Matheney IRA, Mary Matheney IRA
Claimant Lawyers(s): David Liebrader
Respondent(s): Ameriprise Financial Services., Matthew Fournier
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): William C. Turner, Melvin S. Feldman, William Ogburn Huggins
Hearing Site: Las Vegas, NV
| | Expungement |
| 12-03595 | 04/09/2013 | Claimant(s): Catherine Haas
Claimant Lawyers(s): Catherine Haas
Respondent(s): Ameriprise Financial Services., John Hughes
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Alun Hywel Jones
Hearing Site: Augusta, ME
| | $19,879 |
| 11-03693 | 04/09/2013 | Claimant(s): Christine Erickson, William Erickson
Claimant Lawyers(s): John R. Kiefner
Respondent(s): Ameriprise Financial Services., Lance Becatti
Respondent Lawyers(s): Geddes D. Anderson
Arbitrator(s): Edith N. Dinneen, Deborah J. Powell, Andrea Bailey
Hearing Site: Tampa, FL
| | $0 |
| 09-00883 | 03/15/2013 | Claimant(s): John Beland and Elaine Beland, John Beland as TTEE of the Floyd and
Claimant Lawyers(s): David A. Genelly
Respondent(s): Ameriprise Financial Services., Ronald Miller
Respondent Lawyers(s): Geddes D. Anderson
Arbitrator(s): Robert L. Agusto, Steven P. Gomberg, Michael I. White
Hearing Site: Chicago, IL
| | Expungement |
| 11-03766 | 03/08/2013 | Claimant(s): Lavaughn Boston, Mary Boston
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Amy Fuchs, Deborah Perry, Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): A. Ronald Tonks, Arthur L. Tepper, Enrico A. Mazzoli
Hearing Site: Nashville, TN
| | Expungement |
| 12-02231 | 02/08/2013 | Claimant(s): Dina Nogueira, Ricardo Nogueira
Claimant Lawyers(s): Ricardo Nogueira
Respondent(s): Ameriprise Financial Services., Michael Gould
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Julian F. Santos
Hearing Site: Newark, NJ
| | $213 |
| 11-00028 | 01/31/2013 | Claimant(s): Mary Barath
Claimant Lawyers(s): Alice Stewart
Respondent(s): Ameriprise Financial Services., Satish Singh, Timothy McLaughlin
Respondent Lawyers(s): Heather J. Melloh, Timothy M. McLaughlin
Arbitrator(s): Richard W. Dissen, Eileen B. Vernon, Daniel L. Bonder
Hearing Site: Cleveland, OH
| | Expungement |
