| 14-01009 | 08/07/2015 | Claimant(s): Joan Christenson, Joan M. Christenson Revocable Trust
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Paul Schmidt, SII Investments.
Respondent Lawyers(s): John Rock
Arbitrator(s): Kevin D. Hofman, David F. Schmitz, Wayne A. Robinson
Hearing Site: Minneapolis, MN
|  | $72,048 |
| 14-00954 | 07/01/2015 | Claimant(s): Athrea Hedrick, Grace Brown, Estate of Sidney E. Berquam, Sidney E. Berquam Revocable Trust
Claimant Lawyers(s): Steven M. Phillips
Respondent(s): Mark Holt
Respondent Lawyers(s): Mark D. Holt
Arbitrator(s): Richard A. Mosman, Thomas J. Gmeinder, Lavon C. Phillips
Hearing Site: Minneapolis, MN
| | $497,190 |
| 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 |
| 14-03846 | 06/05/2015 | Claimant(s): Charlton Coroni
Claimant Lawyers(s): Charlton Coroni
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Phyllis Karasov
Hearing Site: Minneapolis, MN
| | $425 |
| 14-02378 | 05/13/2015 | Claimant(s): Joseph & Sharon Nielsen
Claimant Lawyers(s): Joseph A. Nielsen
Respondent(s): Sogotrade.
Respondent Lawyers(s): Robert J. Benbenek
Arbitrator(s): Julie A. Hennen, Donald Ray McNeil, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $0 |
| 14-00952 | 04/02/2015 | Claimant(s): Anita Dial, Anita Dial IRA
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Debra L. Weiss
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
| | $0 |
| 14-03719 | 02/23/2015 | Claimant(s): James Welch, Janet Welch
Claimant Lawyers(s): Lars K. Soreide
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Thomas J. Gmeinder
Hearing Site: Minneapolis, MN
| | $275,077 |
| 14-00500 | 01/21/2015 | Claimant(s): Stephen Washburn, Theresa Washburn
Claimant Lawyers(s): Brian L. McMahon
Respondent(s): Workman Securities Corporation
Respondent Lawyers(s): Paul J. Maxa
Arbitrator(s): Douglas G. Plank
Hearing Site: Minneapolis, MN
| | $100,000 |
| 14-01717 | 12/19/2014 | Claimant(s): Arlene Tesch, Kathleen Johnson
Claimant Lawyers(s): T. John Kirk
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): Jodee Brubaker-Rager
Arbitrator(s): Jack D. Elmquist
Hearing Site: Minneapolis, MN
| | Dismissed by Rule 12206 |
| 14-00142 | 11/17/2014 | Claimant(s): James Pietrowski
Claimant Lawyers(s): Scott D. Hirsch
Respondent(s): Berthel, Fisher & Company Financial
Respondent Lawyers(s): Cory D. Olson
Arbitrator(s): Brett W. Olander, Robert Lee Nelson, Susan M. Sanger
Hearing Site: Minneapolis, MN
| | $0 |
