| 13-00176 | 07/17/2013 | Claimant(s): Darcy Christopherson
Claimant Lawyers(s): Darcy L. Christopherson
Respondent(s): VFinance Investments
Respondent Lawyers(s): Jay M. Israel
Arbitrator(s): Andrew R. Dick
Hearing Site: Minneapolis, MN
|  | $0 |
| 12-04183 | 06/07/2013 | Claimant(s): Carol Swearingen, Darrell Swearingen
Claimant Lawyers(s): Joshua Kons
Respondent(s): Carl Vandenburg
Respondent Lawyers(s): Carl Andrew Vandenburg
Arbitrator(s): Christine C. DeMoss
Hearing Site: Minneapolis, MN
| | $25,300 |
| 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 |
| 12-03748 | 05/28/2013 | Claimant(s): Frederick Kaiser
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Phyllis Karasov
Hearing Site: Minneapolis, MN
| | $600 |
| 11-03704 | 05/06/2013 | Claimant(s): Eugene Opatz, Ruth Opatz
Claimant Lawyers(s): Donald R. McNeil
Respondent(s): David Theis
Respondent Lawyers(s): Davis Alan Theis
Arbitrator(s): Peter N. Thompson, Brett W. Olander, Robert S. Burk
Hearing Site: Minneapolis, MN
| | $1,174,350 |
| 11-02451 | 04/17/2013 | Claimant(s): KRI Investments Limited, KRI Investment Limited Partnership, Richard G & Kathleen Werner Limited Part
Claimant Lawyers(s): Richard Sacks
Respondent(s): Angelo Piciucco, Kelly Ullom, Sunset Financial Services.
Respondent Lawyers(s): John W. Shaw, Michael J. Steinlage
Arbitrator(s): Peter N. Thompson, Kathy A. Tatone
Hearing Site: Minneapolis, MN
| | Expungement |
| 10-01981 | 04/01/2013 | Claimant(s): Kristin Brown, Scott Haney
Claimant Lawyers(s): Samuel Tenenbaum
Respondent(s): Wells Fargo Investments, Kevin Shimota
Respondent Lawyers(s): Vanessa Hoffmann
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
| | Expungement |
| 12-01157 | 03/15/2013 | Claimant(s): David Forster, Sandra Forster
Claimant Lawyers(s): Christopher P. Parrington
Respondent(s): David Theis
Respondent Lawyers(s): David Alan Theis
Arbitrator(s): Joan L. Volz
Hearing Site: Minneapolis, MN
| | $290,000 |
| 11-01646 | 01/30/2013 | Claimant(s): Abby Vander Linden, Christopher Vander Linden, Donna Vander Linden, Leon Linden, Todd Linder Linden, Tricia Vander Linden
Claimant Lawyers(s): Fred Coats
Respondent(s): Billy Markve
Respondent Lawyers(s): Rodney K. Vincent
Arbitrator(s): James A. Lundberg, Lawrence R. Commers
Hearing Site: Minneapolis, MN
| | Expungement |
| 11-03436 | 01/28/2013 | Claimant(s): Kristin Farrell, Terence Farrell
Claimant Lawyers(s): Patrick S. Williams
Respondent(s): David Kinnear, UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn Dietrich Perreault
Arbitrator(s): Lawrence J. Welte, Joan L. Volz, Debra Jean Griebel
Hearing Site: Minneapolis, MN
| | Expungement |
