| 07-03291 | 10/23/2008 | Claimant(s): Larry Anderson
Claimant Lawyers(s): Larry D. Anderson
Respondent(s): GunnAllen Financial.
Respondent Lawyers(s): Jay Marc Israel
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
|  | $0 |
| 07-01783 | 10/06/2008 | Claimant(s): Pamela Schmidt, Pamela A. Schmidt Trust
Claimant Lawyers(s): Thomas P. Swigert
Respondent(s): Raymond James Financial Services., Thomas Shian
Respondent Lawyers(s): Erin Linehan, Thomas Shian
Arbitrator(s): Emily F. Seesel, Paul J. Hennen, Steven M. Bialick
Hearing Site: Minneapolis, MN
| | $145,300 |
| 07-03069 | 10/02/2008 | Claimant(s): Jeffrey Nielsen, Evans Creek, Guaranty Escrow Of MN., Hidden Glade Properties
Claimant Lawyers(s): James K. Langdon
Respondent(s): Darin Beckering, Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Mark S. Gleason, Lee T. Beske, Arthur Richard Tow
Hearing Site: Minneapolis, MN
| | $542,340 |
| 07-02458 | 08/15/2008 | Claimant(s): Amit Sela
Claimant Lawyers(s): Thomas E. Propson
Respondent(s): Jeffrey Schachtman, Oak Ridge Financial Services Group, In
Respondent Lawyers(s): Christopher Grgurich
Arbitrator(s): Judith A. Rogosheske, Andrew R. Dick, Julie A. Hennen
Hearing Site: Minneapolis, MN
| | Stipulated Award and Expungement |
| 06-02116 | 06/12/2008 | Claimant(s): Hatch Insurance Agency.
Claimant Lawyers(s): C. Mark Stratton
Respondent(s): Kirlin Securities.
Respondent Lawyers(s): Isaac M. Zucker
Arbitrator(s): Terrence J. Fleming, Robert Lee Nelson, Grant D. Sanders
Hearing Site: Minneapolis, MN
| | $30,000 |
| 07-02441 | 02/06/2008 | Claimant(s): Sandra Ask, Theron Ask, Theron Ask and Sandra Ask
Claimant Lawyers(s): Michael MacDonald
Respondent(s): Gerald Zyskowski, Gardner Financial Services.
Respondent Lawyers(s): Nicole M. Siemens, Richard A. Lind
Arbitrator(s): Bruce J. Nerland, Joan L. Volz, Janna Rae Severance
Hearing Site: Minneapolis, MN
| | $0 |
| 06-04930 | 11/13/2007 | Claimant(s): Earl Smith
Claimant Lawyers(s): Robert J. Hinsch
Respondent(s): Adam Novick, Craig Balsam, John Engelskirger, Leonard Monteforte, Timothy Daly
Respondent Lawyers(s): Adam Matthew Novick, Craig Stuart Balsam, John William Engelskirger, Leonard Frank Monteforte, Timothy James Daly
Arbitrator(s): F. Chet Taylor, Jeffrey W. Jacobs, Robert S. Burk
Hearing Site: Minneapolis, MN
| | $33,850 |
| 06-03915 | 10/12/2007 | Claimant(s): Richard Nadler
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Wells Fargo Investments, Wells Fargo Brokerage Services
Respondent Lawyers(s): Lawrence T. Hofmann
Arbitrator(s): Jack D. Elmquist, Jeffrey W. Jacobs, Bradley A. Erickson
Hearing Site: Minneapolis, MN
| | $0 |
| 06-05110 | 08/23/2007 | Claimant(s): Russell Jacobson, Amelia M. Jacobson, IRAs, Russell W. Jacobson IRAs, Russell W. Jacobson & Amelia Jacobson, Russell W. and Amelia M. Jacobson
Claimant Lawyers(s): Russell W. Jacobson
Respondent(s): Ellerd Tomte
Respondent Lawyers(s): Ellerd B. Tomte
Arbitrator(s): Christine C. DeMoss
Hearing Site: Minneapolis, MN
| | $10,213 |
