| 19-01305 | 10/21/2020 | Claimant(s): Margaret McDonnell, Michael McDonnell, Madeline R. Stierwalt
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Vincent D. Louwagie
Arbitrator(s): Ray J. Grzebielski, Jonathan B. Gilbert, Edward Louis Koven
Hearing Site: Chicago, IL
|  | Dismissed by Rule 12206/12504 |
| 20-00041 | 06/04/2020 | Claimant(s): Bernard Elkon, Sallie Burn
Claimant Lawyers(s): Bernard Peter Elkon, Sallie D. Burn
Respondent(s): David Miller, Shelley Eddy, Peachcap Securities.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Denver, CO
| | $300 |
| 18-03414 | 09/04/2019 | Claimant(s): James Vanderloop
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Daniel Kloskowski, Todd Henrich
Respondent Lawyers(s): Daniel Joseph Kloskowski, Todd Joseph Henrich
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Omaha, NE
| | $15,942 |
| 19-00988 | 08/12/2019 | Claimant(s): Ustocktrade Securities.
Claimant Lawyers(s): Francesco Matteini
Respondent(s): Jamal Woods
Respondent Lawyers(s): Jamal Woods
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Chicago, IL
| | $0 |
| 17-00841 | 10/08/2018 | Claimant(s): Austin Wambold, James Wambold, Susan Wambold
Claimant Lawyers(s): Lars K Soreide
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): T.R. Bynum
Arbitrator(s): Donald N. Tolin, Jonathan B. Gilbert, James Edward Nash
Hearing Site: Omaha, NE
| | Expungement |
| 16-02506 | 07/12/2018 | Claimant(s): Sheldon & Judith Ferkey Revocable Trust
Claimant Lawyers(s): Michael Schaalman
Respondent(s): Judith Ferkey, TD Ameritrade Clearing., Sheldon Ferkey
Respondent Lawyers(s): Dana Sirkis Gloor, Michael Schaalman
Arbitrator(s): David J. Hase, Jonathan B. Gilbert, Susan L. Walker
Hearing Site: Milwaukee, WI
| | $0 |
| 17-02272 | 04/11/2018 | Claimant(s): Jerome Nelson, Kathleen Nelson
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Packerland Brokerage Services., Triad Advisors.
Respondent Lawyers(s): David A. Baugh, Dennis C. Carter
Arbitrator(s): Jeffry M. Bauer, Jonathan B. Gilbert, Michael Jay Buffoni
Hearing Site: Milwaukee, WI
| | $0 |
| 16-00355 | 02/15/2017 | Claimant(s): Estate of Betty Ann Eckert, The Betty Ann Eckert Living Trust
Claimant Lawyers(s): Paul D. Vink
Respondent(s): Gregory Bennington, NFP Advisor Services, The Hartfield Company.
Respondent Lawyers(s): Company President, Gara M. Seagraves
Arbitrator(s): G. Donald Steel, Terry F. Peppard, Jonathan B. Gilbert
Hearing Site: Indianapolis, IN
| | $0 |
| 14-01238 | 01/26/2016 | Claimant(s): Beverly Houts, W. Houts, Geneva BCCX XI, Geneva BCCX XII
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Northland Securities.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Mark S. Gleason, Jonathan B. Gilbert, Jo Anne F. Lewellen
Hearing Site: Minneapolis, MN
| | Expungement |
| 13-00888 | 06/20/2014 | Claimant(s): Trainor Trucking.
Claimant Lawyers(s): David Neuman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Chicago, IL
| | $0 |
