| 11-00748 | 07/05/2012 | Claimant(s): Theresa Falzarano
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Carol Corbett, John James McGovern, Edward Charles Mengel
Hearing Site: Philadelphia, PA
|  | $0 |
| 10-04544 | 06/14/2012 | Claimant(s): Lewis Shupe
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julita Kargol
Arbitrator(s): Mark E. Hollern, Demetrio S. Timban, John E. Felch
Hearing Site: Philadelphia, PA
| | Expungement |
| 10-05634 | 05/07/2012 | Claimant(s): Robert Barry, Robert E. Barry IRA
Claimant Lawyers(s): Robert E. Barry
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Mark L. Kowalsky, Patrick R. Sughroue, William P. Thorpe
Hearing Site: Detroit, MI
| | $0 |
| 11-00984 | 04/17/2012 | Claimant(s): Elaine Stone, Lawrence Stone
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): William J. Bender, Kim D. Stephens, Dante Lee Montoya
Hearing Site: Seattle, WA
| | $112,181 |
| 11-00993 | 04/10/2012 | Claimant(s): Harvey Boritz, Harvey J. Boritz Rollover IRA
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Robert A. Sauerberg
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-02754 | 04/09/2012 | Claimant(s): Craig Larmon, Steven Badeau, Geneva BCCX XVIII, Geneva FTCX I, Geneva OSWX XII, Geneva OSWX XXII, Geneva OSWX XXXVI
Claimant Lawyers(s): Margaret A. Goetze
Respondent(s): Dan Werry, Daniel Wegmann, Eric Swenson, Frederick Fisher, Ameriprise Financial Services., Leslie Smith, Richard Murphy, Ronald Brendengen, Shelley Davenport, Thomas Berthel, 1031 & TIC Investments, Berthel, Fisher & Co. Financial Services, Omni Brokerage.
Respondent Lawyers(s): Britta Schnoor Loftus, Robert T. Matsuishi, Stephen J. Holtman
Arbitrator(s): Andrew R. Dick, Grant D. Sanders, Morton H. Greenberg
Hearing Site: Minneapolis, MN
| | $0 |
| 09-06706 | 04/05/2012 | Claimant(s): Monica Boniadi, Robert Boniadi
Claimant Lawyers(s): Erwin J. Shustak
Respondent(s): David Vaughan, Debra Hansen, Donald Froude, Doreen Griffith, Gayle Parsons, Gregg Johnson, Ameriprise Financial Services., James Heeney, James Nagengast, Securities America., Kevin Miller, Kirk Hulett, Lamar Jones, Leon Johnson, Pamela Wertheim, Paul Huerter, Paul Lofties, Steven Mcwhorter, Terrance Dewald, Theresa James, et al
Respondent Lawyers(s): Bruce M. Bettigole, Bryan M. Ward, Burton W. Wiand, Gregory S. Kaufman
Arbitrator(s): Lester G. Stiel, Thomas J. Doherty, Mary Elizabeth Geerdes
Hearing Site: San Diego, CA
| | Expungement |
| 11-01699 | 04/04/2012 | Claimant(s): Gerard Fusco
Claimant Lawyers(s): Gerard Fusco
Respondent(s): Ameriprise Financial Services., James Gioia
Respondent Lawyers(s): LaToyia K. Pierce
Arbitrator(s): William M. Lacy, Leonard J. Sullivan, Alan M. Holzberg
Hearing Site: Houston, TX
| | $0 |
| 10-03652 | 03/29/2012 | Claimant(s): Louis Delmauro, Renee Delmauro
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | Expungement |
| 11-02733 | 03/21/2012 | Claimant(s): Jill Carter
Claimant Lawyers(s): Jon E. Drucker
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Brian Harlan
Arbitrator(s): Vaughn Thomas Hale, Roberta Haft, Ted Paul Comfort
Hearing Site: Los Angeles, CA
| | $0 |
