| 10-00419 | 08/19/2010 | Claimant(s): Bella Maisel
Claimant Lawyers(s): Bella Villella Maisel
Respondent(s): Feltl & Company
Respondent Lawyers(s): F. Chet Taylor
Arbitrator(s): Joan L. Volz
Hearing Site: Minneapolis, MN
|  | $325 |
| 10-00217 | 08/13/2010 | Claimant(s): Carol Halonen, Carol N Halonen, IRA
Claimant Lawyers(s): Carol N. Halonen
Respondent(s): Gerald Gries
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Lavon C. Phillips
Hearing Site: Minneapolis, MN
| | $0 |
| 10-00742 | 07/30/2010 | Claimant(s): Larry Arrigoni
Claimant Lawyers(s): Amy J. Ihlan
Respondent(s): Wachovia Securities, Wells Fargo Advisors, Mark Fautsch
Respondent Lawyers(s): Alan Rafterman
Arbitrator(s): Thomas J. Gmeinder
Hearing Site: Minneapolis, MN
| | $28,583 |
| 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 |
| 09-06125 | 07/07/2010 | Claimant(s): Ann Lorenz
Claimant Lawyers(s): Ann Marie (Staci) Lorenz
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Daniel Derechin
Arbitrator(s): Phillip I. Finkelstein
Hearing Site: Minneapolis, MN
| | $213 |
| 09-01053 | 06/01/2010 | Claimant(s): Jonathan Morse Seltzer IRA, Susan Oehler Seltzer IRA
Claimant Lawyers(s): Jonathan Morse Seltzer
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Daniel M. Rabinovitz
Arbitrator(s): Lawrence R. Commers, Richard W. Thiele, Brett W. Olander
Hearing Site: Minneapolis, MN
| | $0 |
| 09-03579 | 05/27/2010 | Claimant(s): The Elayne S. Wolfenson Trust, The Marvin E. Wolfenson Trust
Claimant Lawyers(s): Ronald L. Haskvitz
Respondent(s): Wells Fargo Investments, Todd Baker
Respondent Lawyers(s): Kristina W. Carlson
Arbitrator(s): Roger D. Johnson, Peter N. Thompson, Joan L. Volz
Hearing Site: Minneapolis, MN
| | $238,113 |
| 09-03577 | 05/19/2010 | Claimant(s): Richard Johnson
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Michael Wittenberg
Respondent Lawyers(s): Michael Scott Wittenberg
Arbitrator(s): Lawrence R. Commers, John R. Kelly, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $170,521 |
| 08-04425 | 05/14/2010 | Claimant(s): Guenther Roth
Claimant Lawyers(s): Thomas E. Jamison
Respondent(s): David Tysk, Ameriprise Financial Services.
Respondent Lawyers(s): John Rock
Arbitrator(s): Kathy A. Tatone, Arthur Richard Tow, Gary L. Hansen
Hearing Site: Minneapolis, MN
| | $466,000 |
| 09-05803 | 04/20/2010 | Claimant(s): Winona State University Foundation
Claimant Lawyers(s): Kent A. Gernander
Respondent(s): Brian Thurow, Edward Jones
Respondent Lawyers(s): Jonathan M. Harris
Arbitrator(s): Jerry M. Helfand, Natalie A. Roberts, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $0 |
