| 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 |
| 20-01721 | 09/22/2022 | Claimant(s): John Ewine
Claimant Lawyers(s): David W. Porteous
Respondent(s): John Orlando, Richard Rappaport, Newport Coast Securities., Westpark Capital.
Respondent Lawyers(s): Kevin Lee, Nancy L. Hendrickson, Todd A. Zuckerbrod
Arbitrator(s): Martin D. Munic, Thomas J. Gmeinder, Steven M. Bialick
Hearing Site: Minneapolis, MN
| | Expungement |
| 21-02467 | 08/19/2022 | Claimant(s): Paul Nash
Claimant Lawyers(s): Paul Nash
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Barry Goldman
Hearing Site: Minneapolis, MN
| | $0 |
| 21-01248 | 08/18/2022 | Claimant(s): Julie Erickson
Claimant Lawyers(s): Terrence J. Fleming
Respondent(s): Jed Bandes, Peter Taurinskas, Mutual Trust Company of America Securiti
Respondent Lawyers(s): Robert Persante
Arbitrator(s): Tracy L. Allen, William Benjamin Gavzy, Jonathan Bruce Kvasnik
Hearing Site: Minneapolis, MN
| | Expungement |
| 21-02551 | 08/15/2022 | Claimant(s): Joseph Dixon
Claimant Lawyers(s): Joseph O. Dixon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Barry Goldman, Phyllis Karasov, Allan Witz
Hearing Site: Minneapolis, MN
| | Dismissed by Rule 12504 |
| 21-01931 | 08/05/2022 | Claimant(s): Grant R. Lambert Lim Access TR DTD 12-27
Claimant Lawyers(s): Robert Kerrigan
Respondent(s): Worden Capital Management LLC, Jamie Worden, Michael Valdini
Respondent Lawyers(s): Jamie John Worden, Michael Anthony Valdini
Arbitrator(s): Thomas J. Gmeinder, Frederick Ramos, Jo Anne F. Lewellen
Hearing Site: Minneapolis, MN
| | $305,000 |
| 22-00450 | 07/25/2022 | Claimant(s): Todd T. Frisch
Claimant Lawyers(s): Todd T. Frisch
Respondent(s): Jonathan Krueger
Respondent Lawyers(s): Jonathan Paul Krueger
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
| | $0 |
| 18-03488 | 07/15/2022 | Claimant(s): James DeChene, James Dechene IRA
Claimant Lawyers(s): D. Daxton White
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Lindsay Wuller Aggarwal
Arbitrator(s): Michael S. Jordan, John M. James, Stephen J Beseres
Hearing Site: Minneapolis, MN
| | Expungement |
| 19-03741 | 05/27/2022 | Claimant(s): Kraig Ketter
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): David Khezri, Garrett Gaylor
Respondent Lawyers(s): David Khezri, Garrett Randell Gaylor
Arbitrator(s): Jack D. Elmquist, Kevin D. Hofman, Kathy A. Tatone
Hearing Site: Minneapolis, MN
| | $103,000 |
| 22-00854 | 05/05/2022 | Claimant(s): Grant R. Lambert Lim Access TR DTD 12-27
Claimant Lawyers(s): Robert Kerrigan
Respondent(s): Dwayne Bullen, Joseph Valdini
Respondent Lawyers(s): Dwayne Jude Bullen, Joseph Francis Valdini
Arbitrator(s): Thomas J. Gmeinder
Hearing Site: Minneapolis, MN
| | $1,277,630 |
