| 20-03904 | 05/30/2023 | Claimant(s): Mona Petrocine
Claimant Lawyers(s): Martin Asatrian
Respondent(s): David Turetzky, Ameriprise Financial Services., Marlene Yacenda
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Paul J. Camilleri, Annamaria Boccia Smith, William A. Rome
Hearing Site: New York, NY
|  | $0 |
| 20-03955 | 05/17/2023 | Claimant(s): Isabelita Wijangco, Isabelita Wijangco IRA, Isabelita Wijangco Revocable Trust
Claimant Lawyers(s): Michael A. Valenti
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Richard W. Dissen
Hearing Site: Louisville, KY
| | Expungement |
| 21-01384 | 05/10/2023 | Claimant(s): Joseph Caldwell
Claimant Lawyers(s): Joseph D. Caldwell
Respondent(s): Anjani Prabhu, Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Michael A. Orticelle
Hearing Site: Syracuse, NY
| | Expungement |
| 21-02993 | 03/13/2023 | Claimant(s): Sheila Gambrel, The Jean O. King Trust
Claimant Lawyers(s): Robert C. Stokes
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Richard S. Zaifert, Gary E. Marcus, Carolyn E. Moore
Hearing Site: Tampa, FL
| | $0 |
| 22-01112 | 03/09/2023 | Claimant(s): Sandra Lucido, Vincent Lucido
Claimant Lawyers(s): Sandra N Lucido, Vincent S Lucido
Respondent(s): Ameriprise Financial Services., Ameriprise Financial Services, Reza Taraz, Riversource Distributors.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Barbara M. Zak
Hearing Site: Los Angeles, CA
| | $0 |
| 21-00957 | 02/14/2023 | Claimant(s): David Barnett, Sara Barnett, DSB Financial Investments, David Barnett OBO his IRA, Sara Barnett OBO her IRA
Claimant Lawyers(s): Matthew Thibaut
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Martin M. Van Luven, Brian Campbell, Laura Susann Ukoli
Hearing Site: Tampa, FL
| | Expungement |
| 21-00591 | 08/26/2022 | Claimant(s): Robert Paulen IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Nancy J. Cliff
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-00002 | 08/18/2022 | Claimant(s): Michael Gutt
Claimant Lawyers(s): John M. O'Toole
Respondent(s): Ameriprise Financial Services., Steven Sterchele
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Ray J. Grzebielski, Howard T. Goffen, Lisa M. Krimen
Hearing Site: Chicago, IL
| | Expungement |
| 20-04109 | 08/12/2022 | Claimant(s): Hilary Diaz
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Cheryl H. Agris
Hearing Site: New York, NY
| | Expungement |
| 20-04088 | 08/04/2022 | Claimant(s): Jawad Khan, Jawad Khan IRA
Claimant Lawyers(s): Jawad Khan
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): John J. Fitzpatrick
Hearing Site: Bismarck, ND
| | Expungement |
