Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-03807 | 03/12/2021 | Claimant(s): Douglas Bjornson Claimant Lawyers(s): Jennifer A. Bjornson-Gillespie Respondent(s): Gail Van Horn, Katherine Whelan, Kevin Christ, U.S. Bancorp Investments. Respondent Lawyers(s): John Rock Arbitrator(s): Dean J. Dietrich, Gerry A. Gunderson, Jo Anne F. Lewellen Hearing Site: Bismarck, ND |  | Dismissed by Rule 12206 |
| 18-02578 | 03/27/2019 | Claimant(s): William Moultrie Claimant Lawyers(s): William A. Moultrie Respondent(s): U.S. Bancorp Investments. Respondent Lawyers(s): John Rock Arbitrator(s): James J. Stamos Hearing Site: Chicago, IL | | $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 |
| 15-02590 | 06/06/2016 | Claimant(s): Arline Schaubach Claimant Lawyers(s): Nicole Iannarone Respondent(s): Tim Gerds, U.S. Bancorp Investments. Respondent Lawyers(s): John Rock Arbitrator(s): Rody P. Biggert Hearing Site: Milwaukee, WI | | $5,200 |
| 14-01009 | 08/07/2015 | Claimant(s): Joan Christenson, Joan M. Christenson Revocable Trust Claimant Lawyers(s): Michael S. MacDonald Respondent(s): Paul Schmidt, SII Investments. Respondent Lawyers(s): John Rock Arbitrator(s): Kevin D. Hofman, David F. Schmitz, Wayne A. Robinson Hearing Site: Minneapolis, MN | | $72,048 |
| 13-03106 | 10/23/2014 | Claimant(s): Rose M. Dodge Claimant Lawyers(s): Rose M. Dodge Respondent(s): Aron Martz Respondent Lawyers(s): John Rock Arbitrator(s): Terry F. Peppard Hearing Site: Rapid City, SD | | $0 |
| 14-00251 | 08/14/2014 | Claimant(s): Todd Leigh and Lisa Leigh Claimant Lawyers(s): Todd Leigh Respondent(s): U.S. Bancorp Investments. Respondent Lawyers(s): John Rock Arbitrator(s): Charles Orlove Hearing Site: Indianapolis, IN | | $0 |
| 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 |
| 12-04090 | 03/25/2014 | Claimant(s): Johnson Family Trust Claimant Lawyers(s): John Rock Respondent(s): Joel Carlson Respondent Lawyers(s): Joel William Carlson Arbitrator(s): Thomas J. Gmeinder Hearing Site: Minneapolis, MN | | $204,000 |
| 13-00324 | 08/19/2013 | Claimant(s): Virginia Nichols Claimant Lawyers(s): Howard W. Slutsky Respondent(s): Christopher Roberts, U.S. Bancorp Investments. Respondent Lawyers(s): John Rock Arbitrator(s): Kevin R. McDermott Hearing Site: Columbus, OH | | $3,713 |