| 15-01328 | 11/11/2016 | Claimant(s): Ginger August, Mary August, Susan August-Brown, KC August Irrevocable Trust, Mary G. August Irrevocable Trust
Claimant Lawyers(s): Sigmund D. Schutz
Respondent(s): David Chambers, Ameriprise Financial Services., Luke Reinhard
Respondent Lawyers(s): Louis M. Ciavarra
Arbitrator(s): Richard J. Grahn, Karimu F. Hill-Harvey
Hearing Site: Augusta, ME
|  | Expungement |
| 16-00768 | 11/11/2016 | Claimant(s): Sandra Black
Claimant Lawyers(s): Eric A. Parzianello
Respondent(s): Ameriprise Financial Services., Leon Carter
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
| | $0 |
| 16-00218 | 10/19/2016 | Claimant(s): Sophie Shen
Claimant Lawyers(s): Sanford F. Remz
Respondent(s): Christopher Moschella, Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Amy Lampert, Gene M. Bauer, John Francis Markuns
Hearing Site: Boston, MA
| | Expungement |
| 14-03599 | 10/11/2016 | Claimant(s): Larry Kolodey
Claimant Lawyers(s): Ian J. Frimet
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Edward M. Olson, Jeffry M. Bauer, Tracy L. Allen
Hearing Site: Detroit, MI
| | Expungement |
| 13-03531 | 09/29/2016 | Claimant(s): Anthony Sabatasso
Claimant Lawyers(s): Luis F. Biason
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
| | $0 |
| 15-03032 | 09/23/2016 | Claimant(s): Joseph DeBlasi
Claimant Lawyers(s): Joseph DeBlasi
Respondent(s): Edward Stockton, Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
| | $50 |
| 16-00252 | 09/23/2016 | Claimant(s): Sharon Polk-Sadownik
Claimant Lawyers(s): Sharon Polk-Sadownik
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Evalyn Lipton Fishbein
Hearing Site: Boston, MA
| | $3,396 |
| 15-01499 | 08/31/2016 | Claimant(s): Deborah Howland, Leon Howland
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Lynn Hirschfeld Brahin, Raymond P. Buschmann, William Gibson Heller
Hearing Site: Indianapolis, IN
| | $0 |
| 14-02448 | 08/22/2016 | Claimant(s): Roger A. Papa Trust
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Timothy J. Currier, Michael J. Meeusen, Benjamin A. Kerner
Hearing Site: Detroit, MI
| | $0 |
| 15-00748 | 08/02/2016 | Claimant(s): Charles Mugrauer
Claimant Lawyers(s): Sheila Hollander
Respondent(s): Ameriprise Financial Services., Randall Samson, Scott Esco
Respondent Lawyers(s): Chad Weaver, Elizabeth Poletti, Timothy N. Will
Arbitrator(s): Herb Schwartz, Robert Sachs Mandelson, Shirish Gupta
Hearing Site: San Francisco, CA
| | Expungement |
