| 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 |
| 15-01494 | 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 |
| 13-00230 | 05/15/2014 | Claimant(s): Irene Theis
Claimant Lawyers(s): Gary Menzer
Respondent(s): Invest Financial Corporation
Respondent Lawyers(s): John Rock
Arbitrator(s): Frederick Ramos
Hearing Site: Minneapolis, MN
| | Expungement |
| 10-04618 | 01/23/2012 | Claimant(s): Robert Gloss
Claimant Lawyers(s): Michael F Marlow
Respondent(s): Wells Fargo Investments, James Beare
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): William B. Ross, Lee T. Beske, Frederick Ramos
Hearing Site: Minneapolis, MN
| | Expungement |
| 10-01715 | 06/20/2011 | Claimant(s): Janice Ebeling, Leslie Ebeling, Leslie J. Ebeling,Custodian of his IRA
Claimant Lawyers(s): Paul D. Malmfeldt
Respondent(s): Ralph Schneider, Okoboji Financial Services.
Respondent Lawyers(s): Ralph R. Schneider, President, Ralph S. Schneider
Arbitrator(s): Christine C. DeMoss, Lee T. Beske, Frederick Ramos
Hearing Site: Minneapolis, MN
| | $223,870 |
| 09-04732 | 03/08/2011 | Claimant(s): Damon Reel
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Phyllis Karasov, Julie A. Hennen, Frederick Ramos
Hearing Site: Rapid City, SD
| | Expungement |
| 09-02955 | 11/18/2009 | Claimant(s): Mary Hessler, Michael Hessler
Claimant Lawyers(s): Alan R. Perry
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Frederick Ramos
Hearing Site: Minneapolis, MN
| | $8,213 |
| 08-02118 | 05/29/2009 | Claimant(s): Gary L. Wilhelm, IRA
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kelly J. Moynihan
Arbitrator(s): Frederick Ramos
Hearing Site: Minneapolis, MN
| | $14,570 |
