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 |
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 |
21-02186 | 12/12/2022 | Claimant(s): Ronald Gagnon Claimant Lawyers(s): Robert Kerrigan Respondent(s): Worden Capital Management LLC, Jamie Worden, Michael Rosalia Respondent Lawyers(s): Bruce Lewitas, Jamie John Worden, Michael Richard Rosalia Arbitrator(s): LaVon C. Phillips, Grant D. Sanders, Frank Edward Hermann Hearing Site: Minneapolis, MN
| | $130,000 |
21-02475 | 10/19/2022 | Claimant(s): Devon Grandbois Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Edward Jones Respondent Lawyers(s): Michael J. Steinlage Arbitrator(s): Jonathan B. Gilbert Hearing Site: Minneapolis, MN
| | Expungement |