Potomac Analytics' Logo

FINRA Awards for Minneapolis, MN

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 51-60 out of 201 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0134111/13/2018Claimant(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
Checkmark IconExpungement
15-0281010/09/2018Claimant(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
Checkmark Icon$430,000
16-0338809/25/2018Claimant(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
Checkmark Icon$75,384
18-0029808/22/2018Claimant(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
Checkmark Icon$425
18-0097708/22/2018Claimant(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
Checkmark Icon$88
17-0099008/08/2018Claimant(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
Checkmark Icon$150,410
17-0189708/06/2018Claimant(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
Checkmark IconExpungement
17-0234506/18/2018Claimant(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
Checkmark Icon$16,778
16-0112805/11/2018Claimant(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
Checkmark Icon$151,762
17-0085202/16/2018Claimant(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
Checkmark Icon$116,160

201 Results

Display: