| 17-00712 | 06/06/2018 | Claimant(s): Kirk Nelson
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Murray S. Levin, Philip J. Glick, Mary C. Davis
Hearing Site: Omaha, NE
|  | $216,490 |
| 16-00263 | 04/06/2018 | Claimant(s): Richard Struve
Claimant Lawyers(s): Bradley Schnur
Respondent(s): Michael Lavolpe
Respondent Lawyers(s): Michael Scott Lavolpe
Arbitrator(s): Susan L. Walker
Hearing Site: Omaha, NE
| | $110,780 |
| 16-00751 | 10/27/2017 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Marc Kalter, Woodstock Financial Group.
Respondent Lawyers(s): Heidi E. VonderHeide, Yelena Rapoport
Arbitrator(s): Mark L Miller, Gerald J. Egermier, Troy J. Bird
Hearing Site: Omaha, NE
| | Settlement |
| 16-02924 | 09/20/2017 | Claimant(s): Raymond Gibb, IRA FBO Raymond L Gibb Pershing LLC, Pershing Cust FBO Raymond L Gibb IRA
Claimant Lawyers(s): Patricia L. Vannoy
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Charles G. Michaels, Ken L. Andersen, Ryan Douglas Horner
Hearing Site: Omaha, NE
| | $0 |
| 16-01613 | 06/22/2017 | Claimant(s): Jan Larson, Tab Larson, Estate of Kari Lyn Larson
Claimant Lawyers(s): James B. Luers
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Steven Meyrich, Marilyn R. Lewis, John R. Loss
Hearing Site: Omaha, NE
| | $440,158 |
| 16-00351 | 07/19/2016 | Claimant(s): Gene White
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Barbara Desiderio, Brian Hagerman, Niaz Elmazi, Richard Bohack
Respondent Lawyers(s): Barbara Lucille Desiderio, Brian Joseph Hagerman, Niaz Elmazi, Richard Edward Bohack
Arbitrator(s): Arthur F. Dewsberry
Hearing Site: Omaha, NE
| | $50,600 |
| 14-02133 | 08/04/2015 | Claimant(s): Deanna Braun, Richard Braun
Claimant Lawyers(s): Jonathan E Neuman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Mark S. Foster, Larry R. Trussell, Michael D. Fitzgerald
Hearing Site: Omaha, NE
| | $43,999 |
| 14-02161 | 02/25/2015 | Claimant(s): Douglas Redding
Claimant Lawyers(s): Leonard T. Offutt
Respondent(s): Zachary Bader
Respondent Lawyers(s): Craig A. Riha
Arbitrator(s): Christine C. DeMoss
Hearing Site: Omaha, NE
| | $43,115 |
| 13-01872 | 12/12/2014 | Claimant(s): Hereford Securities Management, S.A.
Claimant Lawyers(s): David H. Kalisek
Respondent(s): Juan Alejos, Charles Morgan Securities.
Respondent Lawyers(s): Benjamin Suess, Paul E. Taboada
Arbitrator(s): Murray S. Levin, Frank D. Connett, Richard L. Mitchell
Hearing Site: Omaha, NE
| | $0 |
| 13-00096 | 09/15/2014 | Claimant(s): Todd Tuls
Claimant Lawyers(s): Timothy Feil
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Larry R. Trussell
Hearing Site: Omaha, NE
| | $590,725 |
