| 20-00983 | 01/25/2022 | Claimant(s): Gary Hager, Gary Hager IRA, Gary Hager Roth IRA, Kathleen Hager IRA, FFI Automation Inc 401(k) PSP FBO Gary H, KW Automation 401(k) PSP FBO Gary Hager
Claimant Lawyers(s): Gary Hager, Kathleen Hager
Respondent(s): Kevin Nevin, Colony Park Financial Services LLC, Dempsey Lord Smith, Sandlapper Securities
Respondent Lawyers(s): Daniel H. Wirth, Kevin Mark Nevin, Trevor L. Gordon
Arbitrator(s): Lee T. Beske, Frederick Ramos, Steven M. Bialick
Hearing Site: Minneapolis, MN
|  | $0 |
| 21-00984 | 01/24/2022 | Claimant(s): Duane Goeden, Marion Goeden
Claimant Lawyers(s): Duane Goeden
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Peter N. Thompson, Kerry C. Koep, James Martell Martin
Hearing Site: Minneapolis, MN
| | Expungement |
| 21-00296 | 01/21/2022 | Claimant(s): Marjorie Ullerich
Claimant Lawyers(s): F. Chet Taylor
Respondent(s): Independent Financial Group.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Phyllis Karasov, Michael S. Jordan, Alain Frecon
Hearing Site: Minneapolis, MN
| | $170,425 |
| 21-01282 | 11/15/2021 | Claimant(s): Kathleen Marfiz
Claimant Lawyers(s): Kathleen M. Marfiz
Respondent(s): Isaac Wales
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Minneapolis, MN
| | $300 |
| 19-02196 | 11/12/2021 | Claimant(s): Michael Meyers
Claimant Lawyers(s): Michael MacDonald
Respondent(s): John Santariello
Respondent Lawyers(s): John Joseph Santariello
Arbitrator(s): Jack D. Elmquist, Leo G. Stern, John (Jack) Louis Neveaux
Hearing Site: Minneapolis, MN
| | $358,098 |
| 17-00265 | 10/27/2021 | Claimant(s): Evelyn Wurm, Paul Wurm, Paul & Evelyn Wurm JTWROS
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Christopher Olson
Respondent Lawyers(s): Christopher Ronald Olson
Arbitrator(s): Mark S. Gleason
Hearing Site: Minneapolis, MN
| | $0 |
| 20-00636 | 10/15/2021 | Claimant(s): Howard Merrill, Howard Merrill Rev Living Tr U/A 2/9/15, Howard R. Merrill TTEE
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): National Securities Corporation, Thomas Kelly
Respondent Lawyers(s): Fred N. Knopf, Robert M. Bursky
Arbitrator(s): Steven M. Bialick
Hearing Site: Minneapolis, MN
| | Expungement |
| 21-01118 | 10/15/2021 | Claimant(s): Russell Miller
Claimant Lawyers(s): Russell S. Miller
Respondent(s): Computershare Securities Corporation
Respondent Lawyers(s): Barbara Hall
Arbitrator(s): Robert J. Scafuri
Hearing Site: Minneapolis, MN
| | $25,767 |
| 20-00221 | 10/12/2021 | Claimant(s): John Kirchner, Patricia Kirchner, John and Patricia Kirchner JTWROS
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Cheryl Romann
Respondent Lawyers(s): Cheryl Lynn Romann
Arbitrator(s): Jeffrey W. Jacobs, Grant D. Sanders, John M. James
Hearing Site: Minneapolis, MN
| | Expungement |
| 21-01255 | 10/06/2021 | Claimant(s): Catherine Davis, Catherine C. Davis Trust
Claimant Lawyers(s): Catherine C. Davis
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Minneapolis, MN
| | $43,296 |
