18-01341 | 11/13/2018 | Claimant(s): Robert J Narveson IRA, Robert J Narveson & Stephanie T Narveson Claimant Lawyers(s): Michael MacDonald Respondent(s): Jay Brown Respondent Lawyers(s): David Baugh Arbitrator(s): Jack D. Elmquist Hearing Site: Minneapolis, MN
| | Expungement |
15-02810 | 10/09/2018 | Claimant(s): Bonnie Faleschini, David Plimpton, Randy Reinke, Richard Faleschini, Sally Redding, Susan Plimpton, Tim Redding Claimant Lawyers(s): Steven J. Weintraut Respondent(s): Charles Zajicek, Christopher Most, Wachovia Securities, Wells Fargo Advisors, Wells Fargo Clearing Services Respondent Lawyers(s): Miriam G. Bahcall Arbitrator(s): Steven R. Christensen, Michael F. Jordan, Steven M. Bialick Hearing Site: Minneapolis, MN
| | $430,000 |
16-03388 | 09/25/2018 | Claimant(s): Robert Anderson Claimant Lawyers(s): Kalju Nekvasil Respondent(s): Wells Fargo Advisors, Raymond Kvalvog Respondent Lawyers(s): Demian John Betz, Michael E.. Rowe Arbitrator(s): Daniel M. Yamshon, William Michael Samsel, Steven M. Bialick Hearing Site: Minneapolis, MN
| | $75,384 |
18-00298 | 08/22/2018 | Claimant(s): Bradley Von Essen Claimant Lawyers(s): Bradley Von Essen Respondent(s): John Sclafani, Morgan Wilshire Securities. Respondent Lawyers(s): John V. Sclafani, Michael Finnan Arbitrator(s): Douglas J. Nesbit Hearing Site: Minneapolis, MN
| | $425 |
18-00977 | 08/22/2018 | Claimant(s): Marc Lowenthal, UTMA Claimant Lawyers(s): Garry Lowenthal Respondent(s): Feltl & Company Respondent Lawyers(s): Mitchell Edwards Arbitrator(s): Leo G. Stern Hearing Site: Minneapolis, MN
| | $88 |
17-00990 | 08/08/2018 | Claimant(s): John Gherty, M. Anne Gherty Claimant Lawyers(s): Matthew T. Boos Respondent(s): Morgan Stanley, Morgan Stanley & Co., Randall Johnson Respondent Lawyers(s): Joseph A. Sack, Joseph W. Anthony Arbitrator(s): Kerry C. Koep, Steven M. Bialick, Gregory John Peterson Hearing Site: Minneapolis, MN
| | $150,410 |
17-01897 | 08/06/2018 | Claimant(s): Dawn Gray Claimant Lawyers(s): Dawn Gray Respondent(s): Jason Exley, Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services Respondent Lawyers(s): T.R. Bynum Arbitrator(s): Gerald W. Hepp Hearing Site: Minneapolis, MN
| | Expungement |
17-02345 | 06/18/2018 | Claimant(s): Richard Walsh Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Trident Partners Ltd. Respondent Lawyers(s): Eric J. Sussman Arbitrator(s): Brett W. Olander Hearing Site: Minneapolis, MN
| | $16,778 |
16-01128 | 05/11/2018 | Claimant(s): Frank Mabley Claimant Lawyers(s): Jennifer Tarr Respondent(s): Robert Nash, Merrimac Corporate Securities. Respondent Lawyers(s): Robert G. Nash, Stephen Pizzuti Arbitrator(s): Kenneth O. Fossey, Frederick Ramos, David Steven Paull Hearing Site: Minneapolis, MN
| | $151,762 |
17-00852 | 02/16/2018 | Claimant(s): Dennis Meyers Claimant Lawyers(s): Kalju Nekvasil Respondent(s): Wells Fargo Advisors Financial Network Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Charles A. Palmer, Steven M. Bialick, Lindsay Mancini Hearing Site: Minneapolis, MN
| | $116,160 |