| 24-00059 | 10/09/2024 | Claimant(s): Doris Schake, Jason Schake
Claimant Lawyers(s): Doris Schake
Respondent(s): OSAIC Wealth
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Peter N. Thompson, LaVon C. Phillips, Ansis Viksnins
Hearing Site: Minneapolis, MN
|  | $0 |
| 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 |
| 24-01196 | 09/26/2024 | Claimant(s): Karan Patel
Claimant Lawyers(s): Karan B. Patel
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Simeon M. Schopf
Arbitrator(s): Gregory G. Gocek
Hearing Site: Minneapolis, MN
| | $88 |
| 24-00271 | 07/26/2024 | Claimant(s): Douglas Kleckner
Claimant Lawyers(s): Matthew E. Wolper
Respondent(s): Monmouth Capital Management LLC
Respondent Lawyers(s): Robert Meyer, CEO
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Minneapolis, MN
| | $483,427 |
| 22-02737 | 06/06/2024 | Claimant(s): Rosenau Family Research Foundation
Claimant Lawyers(s): Donald R. McNeil
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Jeffrey W. Jacobs, Leo G. Stern, Joseph Darwin Kenyon
Hearing Site: Minneapolis, MN
| | $7,342,000 |
| 23-03182 | 03/13/2024 | Claimant(s): Jon Drees
Claimant Lawyers(s): Jon Drees
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Grant D. Sanders
Hearing Site: Minneapolis, MN
| | $0 |
| 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 |
| 22-01504 | 08/24/2023 | Claimant(s): Terrence Ransom
Claimant Lawyers(s): Robert D. Loventhal
Respondent(s): Richard Gozola
Respondent Lawyers(s): Richard W. Gozola
Arbitrator(s): Emily B. Boote, Martin D. Munic, Phyllis Karasov
Hearing Site: Minneapolis, MN
| | Expungement |
| 21-01387 | 05/24/2023 | Claimant(s): Pascal Desrosiers
Claimant Lawyers(s): Aklilu Dunlap
Respondent(s): Truist Investment Services.
Respondent Lawyers(s): Thomas DeFranco
Arbitrator(s): Charles R. Manzoni, Peter N. Thompson, Jo Anne F. Lewellen
Hearing Site: Minneapolis, MN
| | $0 |
| 22-02619 | 04/03/2023 | Claimant(s): Jarod Martell
Claimant Lawyers(s): Jarod Martell
Respondent(s): Cash App Investing LLC
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Tracy L. Allen
Hearing Site: Minneapolis, MN
| | $150 |
