09-04700 | 10/28/2011 | Claimant(s): Douglas Pippert, Kira Pippert, Kira Ann Pippert Revocable Trust Claimant Lawyers(s): Adam A. Gillette, Thomas E. Jamison Respondent(s): Michael Blake, Olympus Financial Advisors. Respondent Lawyers(s): Roger W. Hall Arbitrator(s): Edward C. Oliver, Emily F. Seesel, Mark S. Gleason Hearing Site: Minneapolis, MN
| | Stipulated Award |
08-04398 | 11/12/2009 | Claimant(s): Northern Oil and Gas. Claimant Lawyers(s): Matthew T. Boos Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Terrence J. Fleming Arbitrator(s): Douglas G. Plank, Emily F. Seesel, Duane W. Krohnke Hearing Site: Minneapolis, MN
| | $875,352 |
06-05044 | 02/26/2009 | Claimant(s): Ernest Pierson, Ernest C. Pierson IRA Claimant Lawyers(s): Lewis A. Remele Respondent(s): Arthur Sherman, Morgan Stanley DW Inc. Respondent Lawyers(s): August Jamie Schupp Arbitrator(s): Douglas J. Nesbit, Emily F. Seesel, Marjorie I. Fisher Hearing Site: Minneapolis, MN
| | $395,000 |
07-01783 | 10/06/2008 | Claimant(s): Pamela Schmidt, Pamela A. Schmidt Trust Claimant Lawyers(s): Thomas P. Swigert Respondent(s): Raymond James Financial Services., Thomas Shian Respondent Lawyers(s): Erin Linehan, Thomas Shian Arbitrator(s): Emily F. Seesel, Paul J. Hennen, Steven M. Bialick Hearing Site: Minneapolis, MN
| | $145,300 |