| 13-02360 | 05/13/2014 | Claimant(s): Carroll Martini, Mildred Martini, Carroll Martini IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Proequities.
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Douglas J. Nesbit, Kevin D. Hofman, Susan M. Sanger
Hearing Site: Minneapolis, MN
|  | $0 |
| 12-01219 | 06/03/2013 | Claimant(s): Marilee Swanson, Marilee D. Swanson Roth IRA, Marilee D. Swanson Trust
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Douglas J. Nesbit, Brett W. Olander, Jerome B. Simon
Hearing Site: Minneapolis, MN
| | $0 |
| 09-04506 | 06/06/2011 | Claimant(s): Shirley Larson, Wallace Larson
Claimant Lawyers(s): Christopher A. Grgurich
Respondent(s): Howard Egeland
Respondent Lawyers(s): Howard J. England
Arbitrator(s): Emily B. Boote, Douglas J. Nesbit, Robert Drae Venters
Hearing Site: Minneapolis, MN
| | $363,000 |
| 09-00830 | 03/10/2011 | Claimant(s): Dolores A. Smith Insurance & Associates
Claimant Lawyers(s): Brent A. Lorentz
Respondent(s): Kenneth Marchiol, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): J. Jackson, Jeffrey B. Kelvin
Arbitrator(s): Douglas J. Nesbit, Arlen G. Restad, Susan M. Barnes
Hearing Site: Minneapolis, MN
| | $0 |
| 08-04462 | 01/20/2011 | Claimant(s): Alphonse Matt, Alphonse J.Matt,Jr. (Bene) IRA Rollover
Claimant Lawyers(s): Thomas F. Shine
Respondent(s): Kimon Peter Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Audette Paul Morales
Arbitrator(s): Lawrence J. Welte, James A. Lundberg, Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | Stipulated Award and Expungement |
| 09-04484 | 12/14/2010 | Claimant(s): ASA Tax Advantage Relative Value Fund
Claimant Lawyers(s): Geoffrey P. Jarpe
Respondent(s): National Financial Services LLC
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Bruce J. Nerland, Douglas J. Nesbit, Peter N. Thompson
Hearing Site: Minneapolis, MN
| | $0 |
| 09-03611 | 07/15/2010 | Claimant(s): Arlyn E. Hanson IRA, Priscilla E. Hanson IRA, Priscilla E. Hanson & Arlyn E. Hanson, Arlyn E. Hanson Trust, Priscilla E. Hanson Trust
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Kenneth Kauth, Wells Fargo Advisors
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Gerald M. Gifford, Douglas Randall Blohm, Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | $0 |
| 09-03736 | 02/24/2010 | Claimant(s): Paul Rodeheffer
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Douglas J. Nesbit
Hearing Site: Des Moines, IA
| | $10,949 |
| 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 |
