| 08-02240 | 10/12/2009 | Claimant(s): RMD/R Family Ltd. Partnership, Tonka Lakes, The Robert J. Rotenberg 2002 Irvoc Tr
Claimant Lawyers(s): Mark L. Johnson
Respondent(s): Deutsche Bank Securities., Deutsche Bank Alex.Brown
Respondent Lawyers(s): Bradford D. Kaufman
Arbitrator(s): Judith A. Rogosheske, Brett W. Olander, Patricia S. Bartholomew
Hearing Site: Minneapolis, MN
|  | $315,600 |
| 09-02027 | 09/16/2009 | Claimant(s): Mark Kaplan
Claimant Lawyers(s): Felix M. Phillips
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Mark S. Gleason
Hearing Site: Minneapolis, MN
| | $25,000 |
| 06-05107 | 07/28/2009 | Claimant(s): Thomas Powell, Thomas L. Powell, IRA
Claimant Lawyers(s): Donald M. Feferman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): J. Jackson
Arbitrator(s): Robert E. Robertson, Lawrence R. Commers, Arthur Richard Tow
Hearing Site: Minneapolis, MN
| | $0 |
| 08-02118 | 05/29/2009 | Claimant(s): Gary L. Wilhelm, IRA
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kelly J. Moynihan
Arbitrator(s): Frederick Ramos
Hearing Site: Minneapolis, MN
| | $14,570 |
| 08-04259 | 04/29/2009 | Claimant(s): Emery Sher
Claimant Lawyers(s): Emery P. Sher
Respondent(s): Stifel, Nicolaus & Co.., Kirk Cleland, Matthew Kyler
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Joan L. Volz
Hearing Site: Minneapolis, MN
| | $4,979 |
| 08-01635 | 04/03/2009 | Claimant(s): Pamela Peterson, Vanky Men, William Peterson
Claimant Lawyers(s): Richard J. Gerace
Respondent(s): Jon Berg, Lisa Newman, Marc Kozberg, Michael Leonard, Richard Husebo, Oak Ridge Holding Corporation, The Oak Ridge Financial Services Group,
Respondent Lawyers(s): Christopher A. Grgurich
Arbitrator(s): Lawrence J. Welte, Judith A. Rogosheske, Steven Eric Brandes
Hearing Site: Minneapolis, MN
| | $187,380 |
| 07-02229 | 03/11/2009 | Claimant(s): Katherine Knutson
Claimant Lawyers(s): Steven M. Phillips
Respondent(s): RBC Dain Rauscher.
Respondent Lawyers(s): John W. Shaw
Arbitrator(s): Douglas Randall Blohm, James H. Colburn, Edward C. Oliver
Hearing Site: Minneapolis, MN
| | $4,423,080 |
| 08-01724 | 03/09/2009 | Claimant(s): Lawson Software Americas.
Claimant Lawyers(s): Bruce McPheeters
Respondent(s): Dana Hanley
Respondent Lawyers(s): Dana M. Hanley
Arbitrator(s): Thomas J. Gmeinder, Kerry C. Koep, David A. Peterson
Hearing Site: Minneapolis, MN
| | Stipulated Award and Expungement |
| 06-05044 | 02/26/2009 | Claimant(s): Ernest Pierson, Ernest C. Pierson IRA
Claimant Lawyers(s): Lewis A. Remele
Respondent(s): Arthur Sherman, Morgan Stanley DW Inc.
Respondent Lawyers(s): August Jamie Schupp
Arbitrator(s): Douglas J. Nesbit, Emily F. Seesel, Marjorie I. Fisher
Hearing Site: Minneapolis, MN
| | $395,000 |
| 07-03105 | 11/26/2008 | Claimant(s): Alvin McQuinn, Alvin E. McQuinn FLITE Trust
Claimant Lawyers(s): John Cotter, Mark J. Briol
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Steven M. Malina
Arbitrator(s): Lawrence J. Welte, Robert S. Burk, Daniel D. Hill
Hearing Site: Minneapolis, MN
| | $250,000 |
