| 15-02805 | 03/21/2017 | Claimant(s): Melissa Nordick
Claimant Lawyers(s): Michael Hill
Respondent(s): Emergent Financial Group.
Respondent Lawyers(s): Randy J. Sparling
Arbitrator(s): Kevin D. Hofman, Gregory John Peterson, Michael Leary
Hearing Site: Minneapolis, MN
|  | $0 |
| 16-00441 | 02/10/2017 | Claimant(s): Mavis Kolman, Ronald O. Kolman
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Jonah Engler, Jonathan Sheklow, Thomas Herity, William Bradley, HFP Capital Markets LLC
Respondent Lawyers(s): Jonah Engler, Jonathan Michael Sheklow, Thomas Francis Herity, Thomas Herity, William Kevin Bradley
Arbitrator(s): Lawrence R. Commers
Hearing Site: Minneapolis, MN
| | $33,117 |
| 15-03309 | 01/18/2017 | Claimant(s): Laudine L. Ploetz, 1985 Trust
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ryan G. Fant
Arbitrator(s): Barry Goldman, Jeffrey W. Jacobs, Alain Frecon
Hearing Site: Minneapolis, MN
| | $0 |
| 13-00092 | 12/19/2016 | Claimant(s): Brad Burns, B&B Sheet Metal & Roofing., R&B Management LLP
Claimant Lawyers(s): Stephen W. Hance
Respondent(s): Marcus Renslow, Major League Capital, United Securities Alliance.
Respondent Lawyers(s): Jeffrey Cannella, Marcus A. Renslow
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
| | Expungement |
| 15-00401 | 12/06/2016 | Claimant(s): Julie Koch, Larry Koch, Koch Partners, L.P.
Claimant Lawyers(s): Jesse H Kibort
Respondent(s): UBS Financial Services Inc., Susan Blount
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Jeffrey W. Jacobs, Arthur Richard Tow, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $0 |
| 14-02984 | 10/17/2016 | Claimant(s): Jean Kulsrud
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Lavon C. Phillips, Phyllis Karasov, Frank Abramson
Hearing Site: Minneapolis, MN
| | Expungement |
| 15-01494 | 08/08/2016 | Claimant(s): Mark Savage, M1 Capital Advisors LLC
Claimant Lawyers(s): Samuel M. Johnson
Respondent(s): Halcyon Cabot Partners, Ltd.
Respondent Lawyers(s): Ronald Heineman
Arbitrator(s): Douglas Randall Blohm, Frederick Ramos, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $132,925 |
| 16-00093 | 07/19/2016 | Claimant(s): Kennedy Gisege
Claimant Lawyers(s): Kennedy Gisege
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
| | $0 |
| 15-02879 | 06/24/2016 | Claimant(s): Matthew Sherin
Claimant Lawyers(s): Christian M. Sande
Respondent(s): Woodbury Financial Services., Patrick O' Leary
Respondent Lawyers(s): John Rock, Ronald W. Sannicandro
Arbitrator(s): Philip J. Glick
Hearing Site: Minneapolis, MN
| | $300 |
| 15-03354 | 06/15/2016 | Claimant(s): Farbod Farahan
Claimant Lawyers(s): Farbod Farahan
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
| | $0 |
