16-00783 | 07/31/2017 | Claimant(s): Joseph Devaney, Mary Devaney Claimant Lawyers(s): Adrian Mendoza Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Gregory G. Gocek Hearing Site: Chicago, IL
| | Expungement |
15-02046 | 07/21/2017 | Claimant(s): Harold Garner, Shirley Garner Claimant Lawyers(s): Thomas C. Costello Respondent(s): Ameriprise Financial Services., Michael Sommerfield Respondent Lawyers(s): Chad Weaver Arbitrator(s): Douglas Earl McLaren, Christopher M. McMurray, Eric Erdheim Hearing Site: Baltimore, MD
| | Expungement |
15-03209 | 06/30/2017 | Claimant(s): Vinu Patel Claimant Lawyers(s): Philip D. Sever Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Ed Walton Arbitrator(s): Hearing Site: Cincinnati, OH
| | Expungement |
16-01261 | 06/27/2017 | Claimant(s): Jan Tullis, Scott Tullis Claimant Lawyers(s): Joshua L. Ross Respondent(s): Andrew Hall, Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Rick D. Hampton, Stephany Adriene Watson, Paul R. Meyer Hearing Site: Portland, OR
| | $191,772 |
16-01613 | 06/22/2017 | Claimant(s): Jan Larson, Tab Larson, Estate of Kari Lyn Larson Claimant Lawyers(s): James B. Luers Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Edward A. Walton Arbitrator(s): Steven Meyrich, Marilyn R. Lewis, John R. Loss Hearing Site: Omaha, NE
| | $440,158 |
16-01703 | 05/23/2017 | Claimant(s): Camille Burns, Kevin Burns Claimant Lawyers(s): Ken Abele Respondent(s): Wells Fargo Advisors, Ameriprise Financial Services., Steven Levin Respondent Lawyers(s): Demian J. Betz, Edward Walton Arbitrator(s): John Richard Lynch Hearing Site: Miami, FL
| | Expungement |
16-00036 | 05/17/2017 | Claimant(s): Richard Patterson, Richard Patterson Rev Liv Trust Claimant Lawyers(s): Kristian P. Kraszewski Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Ron Pekoe, Mark R. Topper, Stuart K. Furman Hearing Site: Orlando, FL
| | Expungement |
16-02107 | 05/05/2017 | Claimant(s): Velma Lockley Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Edward A. Walton Arbitrator(s): Richard W. Cutler Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
16-00348 | 04/19/2017 | Claimant(s): Steven Zap Entertainment 401(k) Profit S Claimant Lawyers(s): Cristina Hernandez Respondent(s): Alec Pedersen, Eric Smutko, Ameriprise Financial Services. Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Robert D. Sussin Hearing Site: Los Angeles, CA
| | Expungement |
15-02852 | 12/06/2016 | Claimant(s): George Fradette, Irene Fradette Claimant Lawyers(s): Richard E. Fradette Respondent(s): Ameriprise Financial Services., Michael Humphries Respondent Lawyers(s): Edward A. Walton Arbitrator(s): Samuel H. Chorches Hearing Site: Manchester, NH
| | Expungement |