| 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 |
| 19-00571 | 08/04/2021 | Claimant(s): Darla D. Ward, Lawrence J. Ward
Claimant Lawyers(s): F. Chet Taylor
Respondent(s): Cheryl Romann, Donald Waage, John Carlson, Steven Knuttila, Capital Financial Services.
Respondent Lawyers(s): Cheryl Lynn Romann, David A. Baugh, Donald Waage, Gordon Dihle, Steven R. Knuttila
Arbitrator(s): Douglas J. Nesbit, Phyllis Karasov, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $939,300 |
| 19-02889 | 08/03/2021 | Claimant(s): Alioune Thiam
Claimant Lawyers(s): Alioune Thiam
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Frederick Ramos, Grant D. Sanders, Dana Roberts
Hearing Site: Minneapolis, MN
| | $0 |
| 21-00035 | 05/28/2021 | Claimant(s): Robert Webb
Claimant Lawyers(s): Robert V. Webb
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Frederick Ramos
Hearing Site: Minneapolis, MN
| | $0 |
| 19-02808 | 05/26/2021 | Claimant(s): Thomas Mayberry
Claimant Lawyers(s): Mitchell Markowitz
Respondent(s): Clifford Reid, Elvis Parkes, Reid & Rudiger LLC
Respondent Lawyers(s): Joel S. Forman
Arbitrator(s): Frederick Ramos
Hearing Site: Minneapolis, MN
| | Expungement |
| 20-03711 | 02/25/2021 | Claimant(s): Darcy Christopherson
Claimant Lawyers(s): Darcy Christopherson
Respondent(s): G1 Execution Services, GTS Securities LLC
Respondent Lawyers(s): John C. Pickford, Paul McCurdy
Arbitrator(s): Frederick Ramos
Hearing Site: Minneapolis, MN
| | $300 |
| 20-01786 | 10/26/2020 | Claimant(s): Mark Dalrymple
Claimant Lawyers(s): Kyle M. Kulzer
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin, Esq.
Arbitrator(s): Alain Frecon
Hearing Site: Minneapolis, MN
| | Settlement |
| 19-03449 | 06/25/2020 | Claimant(s): Richard R. Bauer Rev. Trust dtd 7/21/11
Claimant Lawyers(s): Debra Weiss
Respondent(s): Cole Gendreau, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Michael S. Matek
Hearing Site: Minneapolis, MN
| | $0 |
