| 23-03068 | 10/08/2024 | Claimant(s): Michael Loren Koehler IRA 401K Plan
Claimant Lawyers(s): Roberta Ann Koehler
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin Sinclair
Arbitrator(s): Douglas J. Nesbit, Phyllis Karasov, William M. Azkoul
Hearing Site: Minneapolis, MN
|  | $300 |
| 22-02918 | 01/29/2024 | Claimant(s): Carlos Tobon
Claimant Lawyers(s): Steven J. Weintraut
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | $4,000 |
| 21-00606 | 12/21/2022 | Claimant(s): Mitchell Bublitz, IRA
Claimant Lawyers(s): Michael MacDonald
Respondent(s): Stifel, Nicolaus & Co.., Richard Schultz
Respondent Lawyers(s): Julie H. Firestone
Arbitrator(s): Jack D. Elmquist, Douglas J. Nesbit, Mary Louise Hilfiker
Hearing Site: Minneapolis, MN
| | $1,000 |
| 19-00571 | 08/04/2021 | Claimant(s): Darla D. Ward, Lawrence J. Ward
Claimant Lawyers(s): F. Chet Taylor
Respondent(s): Cheryl Romann, Donald Waage, John Carlson, Steven Knuttila, Capital Financial Services.
Respondent Lawyers(s): Cheryl Lynn Romann, David A. Baugh, Donald Waage, Gordon Dihle, Steven R. Knuttila
Arbitrator(s): Douglas J. Nesbit, Phyllis Karasov, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $939,300 |
| 19-01881 | 12/27/2019 | Claimant(s): Michael Rowan IRA
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Adam Morsi, Michael Guilfoyle, Legend Securities.
Respondent Lawyers(s): Hisham Hamed, Michael Nicholas Guilfoyle, Salvatore Caruso
Arbitrator(s): Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | $36,000 |
| 17-03250 | 01/18/2019 | Claimant(s): Devonne Kjellsen, Janet Kjellsen
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy Winer
Arbitrator(s): Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | $0 |
| 18-00298 | 08/22/2018 | Claimant(s): Bradley Von Essen
Claimant Lawyers(s): Bradley Von Essen
Respondent(s): John Sclafani, Morgan Wilshire Securities.
Respondent Lawyers(s): John V. Sclafani, Michael Finnan
Arbitrator(s): Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | $425 |
| 14-02900 | 10/26/2015 | Claimant(s): Howard Eugene Rude
Claimant Lawyers(s): Randall Place
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Lawrence R. Commers, Stephen C. Esposito, Douglas J. Nesbit
Hearing Site: Des Moines, IA
| | Expungement |
| 13-03542 | 06/16/2015 | Claimant(s): Steve Hawley and Susan M. Hawley
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Douglas J. Nesbit, Jeffrey A. Schuh, Grant D. Sanders
Hearing Site: Minneapolis, MN
| | Expungement |
| 13-01997 | 09/25/2014 | Claimant(s): Brad Nord, Cheryl Nord, Nord Cos. Inc., Bradley S. Nord IRA
Claimant Lawyers(s): Brad Nord
Respondent(s): Anthony Bauer, Berthel, Fisher & Company Financial Serv, Prospera Financial Services.
Respondent Lawyers(s): Cory D. Olsen, Jeff I. Nicodemus
Arbitrator(s): Douglas J. Nesbit, Robert Lee Nelson, Steven Eric Brandes
Hearing Site: Minneapolis, MN
| | $0 |
