| 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 |
| 21-01024 | 04/19/2022 | Claimant(s): Eugene Elvecrog, Paula Elvecrog, Eugene L. Elvecrog IRA, Eugene L. Elvecrog Family Income Trust, Eugene L. Elvecrog Trust, Paula M. Elvecrog Family Income Trust, Paula M. Elvecrog Trust
Claimant Lawyers(s): Michael Sutton MacDonald
Respondent(s): Anne Machesky, Ryan Haag, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Frederick Ramos, Leo G. Stern
Hearing Site: Minneapolis, MN
| | Expungement |
| 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 |
