| 17-00265 | 10/27/2021 | Claimant(s): Evelyn Wurm, Paul Wurm, Paul & Evelyn Wurm JTWROS
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Christopher Olson
Respondent Lawyers(s): Christopher Ronald Olson
Arbitrator(s): Mark S. Gleason
Hearing Site: Minneapolis, MN
|  | $0 |
| 14-01238 | 01/26/2016 | Claimant(s): Beverly Houts, W. Houts, Geneva BCCX XI, Geneva BCCX XII
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Northland Securities.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Mark S. Gleason, Jonathan B. Gilbert, Jo Anne F. Lewellen
Hearing Site: Minneapolis, MN
| | Expungement |
| 14-00383 | 09/22/2015 | Claimant(s): Donna Cramer, John Cramer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Terry F. Peppard, Kevin D. Hofman, Mark S. Gleason
Hearing Site: Minneapolis, MN
| | $58,563 |
| 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 |
| 09-04932 | 11/10/2010 | Claimant(s): RSA 1 Limited Partnership
Claimant Lawyers(s): Stanley J. Thompson
Respondent(s): Duane Sturm, Raymond James Financial Services., Raymond, James & Associates.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Andrew R. Dick, Mark S. Gleason, Steven C. Despotovich
Hearing Site: Des Moines, IA
| | Auction Rate Securities related |
| 09-02027 | 09/16/2009 | Claimant(s): Mark Kaplan
Claimant Lawyers(s): Felix M. Phillips
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Mark S. Gleason
Hearing Site: Minneapolis, MN
| | $25,000 |
| 08-01564 | 11/20/2008 | Claimant(s): Cobra Trading.
Claimant Lawyers(s): Bradley M. Orschel
Respondent(s): Beverly Milnar
Respondent Lawyers(s): Chad A. Snyder
Arbitrator(s): Mark S. Gleason, Richard W. Thiele, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $0 |
| 07-03069 | 10/02/2008 | Claimant(s): Jeffrey Nielsen, Evans Creek, Guaranty Escrow Of MN., Hidden Glade Properties
Claimant Lawyers(s): James K. Langdon
Respondent(s): Darin Beckering, Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Mark S. Gleason, Lee T. Beske, Arthur Richard Tow
Hearing Site: Minneapolis, MN
| | $542,340 |
