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FINRA Awards for Minneapolis, MN

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Displaying 41-50 out of 201 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0219305/07/2020Claimant(s): William Bernard
Claimant Lawyers(s): William N. Bernard
Respondent(s): Stephen Zipkin, Steven Dash, Hallmark Investments.
Respondent Lawyers(s): Stephen Phillip Zipkin, Steven Gary Dash, Steven Dash
Arbitrator(s): Grant D. Sanders
Hearing Site: Minneapolis, MN
Checkmark Icon$0
18-0336903/16/2020Claimant(s): Thomas Mayberry
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): John B. Orenstein, Steven M. Bialick, Lindsay Keller
Hearing Site: Minneapolis, MN
Checkmark Icon$0
19-0188112/27/2019Claimant(s): Michael Rowan IRA
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Adam Morsi, Michael Guilfoyle, Legend Securities.
Respondent Lawyers(s): Hisham Hamed, Michael Nicholas Guilfoyle, Salvatore Caruso
Arbitrator(s): Douglas J. Nesbit
Hearing Site: Minneapolis, MN
Checkmark Icon$36,000
17-0261711/20/2019Claimant(s): Kevin Rouse
Claimant Lawyers(s): Kevin Rouse
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Alain Frecon, Mary Louise Hilfiker, Robert Meredith Altman-Segal
Hearing Site: Minneapolis, MN
Checkmark IconRule 12504(b)
18-0019506/05/2019Claimant(s): Tom Nomeland
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Robert Solow, Theodore Allocca, William Quigley, Trident Partners Ltd.
Respondent Lawyers(s): Eric J. Sussman, Robert Paul Solow, William Michael Quigley
Arbitrator(s): Bruce J. Nerland, Jack D. Elmquist, Susan M. Sanger
Hearing Site: Minneapolis, MN
Checkmark Icon$0
18-0021104/11/2019Claimant(s): Cletus Gernes
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Arthur Richard Tow, Susan M. Sanger, William Joseph Caprathe
Hearing Site: Minneapolis, MN
Checkmark IconExpungement
17-0219103/05/2019Claimant(s): Doyle Kjellsen, Karen Kjellsen
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Morgan Stanley, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Demian J Betz, Jeremy S. Winer
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
Checkmark Icon$0
18-0289801/24/2019Claimant(s): Jerry LaMaack
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): Feltl & Company
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Joan L. Volz
Hearing Site: Minneapolis, MN
Checkmark Icon$45,572
17-0325001/18/2019Claimant(s): Devonne Kjellsen, Janet Kjellsen
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy Winer
Arbitrator(s): Douglas J. Nesbit
Hearing Site: Minneapolis, MN
Checkmark Icon$0
18-0279301/07/2019Claimant(s): IRA FBO Jerry Lee LaMaack
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): Feltl & Company
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Steven M. Bialick
Hearing Site: Minneapolis, MN
Checkmark Icon$17,418

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