| 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 |
| 17-00340 | 02/01/2018 | Claimant(s): Irrev Trust of Roger and Gladys Linder
Claimant Lawyers(s): Casey D Marshall
Respondent(s): Ameriprise Financial Services., Jerome Hill, John Gruber
Respondent Lawyers(s): Joyce Svoboda, Kim M. Ruckdaschel-Haley
Arbitrator(s): Frederick Ramos, Steven M. Bialick, Matthew E. Piermantier
Hearing Site: Minneapolis, MN
| | Expungement |
| 15-01248 | 12/12/2017 | Claimant(s): Ronald Drake
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Anthony Salamone, Bruce Guarino, Glen Stifelman, Kenneth Severinsen, Kevin Sheehan Jr, Rockwell Global Capital LLC
Respondent Lawyers(s): Aegis J. Frumento, Anthony Patrick Salamone, Kenneth Lee Severinsen, Kevin Michael Sheehan Jr, Robert M. Bursky
Arbitrator(s): Grant D. Sanders
Hearing Site: Minneapolis, MN
| | $0 |
