| 22-02737 | 06/06/2024 | Claimant(s): Rosenau Family Research Foundation
Claimant Lawyers(s): Donald R. McNeil
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Jeffrey W. Jacobs, Leo G. Stern, Joseph Darwin Kenyon
Hearing Site: Minneapolis, MN
|  | $7,342,000 |
| 23-01017 | 11/29/2023 | Claimant(s): Deanne Schlarbaum
Claimant Lawyers(s): Darwin Bunger
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Mark A. Frankel
Hearing Site: Des Moines, IA
| | $0 |
| 22-01625 | 03/15/2023 | Claimant(s): Lawrence Ford
Claimant Lawyers(s): La Verne C. Simmons
Respondent(s): Pershing LLC, Principal Securities., Principal Financial Group
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): William W. Haskell, David I. Levine, Michael D. Briggs
Hearing Site: San Francisco, CA
| | $0 |
| 19-01179 | 05/26/2022 | Claimant(s): Marlyn Schipper
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Prudential Investment Mgmt Services LLC, Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge, Marilyn B. Rosen
Arbitrator(s): Michael Nathanson, Jacqueline Stanley Lustig, Thomas P. Valenti
Hearing Site: Chicago, IL
| | $0 |
| 20-03374 | 03/21/2022 | Claimant(s): Alicia Friedrichs, Andrew Knopfel, Barbara Stephens, Brian Bazata, Carolyn Lura, Carson Stephens, Connor Emshousen, Curtis Stanfill, Daniel Orms, David Friedrichs, Dawn Emshousen, Douglas Brown, Douglas Egbert, Douglas Havelka, Eddie Case, Eileen Hubert, Elliott Higginbotham, Gerry Stephens, Heidi Bazata, Hunter Stephens, Jana Reilly, Jeff Finley, Jerry Stephens, John Carter, John Hubert, Kay Thornton, Kerri Bridges, Kurtis Emshousen, Larry Guthrie, Lee Friedman, Leslie Stephens, Malinda Roberson, Mary Corsair, Michael Dorman, Nelson Rabdall, Robert Bridges, Roger Dowdy, Ronald Carter, Stephanie Orms, Steven Friedman, Terry Ferguson, Thomas Marks, Timothy Dorman, Varda Case, Virginia Schumacher, William Reilly, William Ridings, Jerry William Stephens Trust, Ronald N. Carter Revocable Trust, Steven A Friedman Revocable Trust
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Leah Murray Albert, James M. Stern, David E. Crawford
Hearing Site: St. Louis, MO
| | $0 |
| 21-01305 | 10/15/2021 | Claimant(s): Joseph Reynolds
Claimant Lawyers(s): Joseph Reynolds
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Steven H. Vogel
Hearing Site: Chicago, IL
| | $300 |
| 19-01892 | 07/13/2021 | Claimant(s): Susan Gordon Neal
Claimant Lawyers(s): Adam J. Stewart
Respondent(s): David Reynolds, Steven Wright, Principal Securities.
Respondent Lawyers(s): David Lee Reynolds, Kathryn Roe Eldridge
Arbitrator(s): Ralph A. Cotton, Juleanne (Julie) A. Thiebaut, Stanley Data
Hearing Site: San Francisco, CA
| | Expungement |
| 18-03646 | 03/08/2019 | Claimant(s): Luciano Bispo
Claimant Lawyers(s): Luciano J. Bispo
Respondent(s): Stephanie Wade, Principal Securities.
Respondent Lawyers(s): Audrey L. Shields
Arbitrator(s): Edith M. Novack
Hearing Site: Philadelphia, PA
| | $0 |
