| 17-02822 | 01/25/2022 | Claimant(s): Jerome Kemper, Larry Grondahl, Peggy Monette, Clinton and Pamela Rasmussen, Gregory and Vickie Heller, Kenneth and Kristine Kuhn, Mark and Kari Kringen, Steven and Elaine Sinness, Connie E. Lee Living Trust
Claimant Lawyers(s): Brandon S. Reif
Respondent(s): Alexandra Lebenthal, James Lebenthal, Myles Blechner, Lebenthal & Co.
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): Herbert Liberman, P J Boylan, Ilene T. Gormly
Hearing Site: Bismarck, ND
|  | Expungement |
| 19-02920 | 01/25/2022 | Claimant(s): Michael Azzarelli
Claimant Lawyers(s): Robert C. Stokes
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Brian Patrick Quinn, Vlad Gerard Spitzer, Jason Paul Ramos
Hearing Site: Tampa, FL
| | Expungement |
| 20-00983 | 01/25/2022 | Claimant(s): Gary Hager, Gary Hager IRA, Gary Hager Roth IRA, Kathleen Hager IRA, FFI Automation Inc 401(k) PSP FBO Gary H, KW Automation 401(k) PSP FBO Gary Hager
Claimant Lawyers(s): Gary Hager, Kathleen Hager
Respondent(s): Kevin Nevin, Colony Park Financial Services LLC, Dempsey Lord Smith, Sandlapper Securities
Respondent Lawyers(s): Daniel H. Wirth, Kevin Mark Nevin, Trevor L. Gordon
Arbitrator(s): Lee T. Beske, Frederick Ramos, Steven M. Bialick
Hearing Site: Minneapolis, MN
| | $0 |
| 21-00550 | 01/25/2022 | Claimant(s): Betsy Sachs
Claimant Lawyers(s): Betsy Sachs
Respondent(s): James Mckenna, Whitney Boucher
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Paul A. Auerbach, Thomas M. Madden, Mark Andrew Helman
Hearing Site: Providence, RI
| | Dismissed by Rule 12504 |
| 21-00984 | 01/24/2022 | Claimant(s): Duane Goeden, Marion Goeden
Claimant Lawyers(s): Duane Goeden
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Peter N. Thompson, Kerry C. Koep, James Martell Martin
Hearing Site: Minneapolis, MN
| | Expungement |
| 20-01343 | 01/24/2022 | Claimant(s): Denice Azar Revocable Trust
Claimant Lawyers(s): Scott Lane
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Robert J. Scafuri, Michael D. McDowell, Linda Arlene Michler
Hearing Site: Pittsburgh, PA
| | Expungement |
| 20-02970 | 01/24/2022 | Claimant(s): Lars Jensen
Claimant Lawyers(s): Lance McCardle
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): George C. Freeman III
Arbitrator(s): Allan R. Lazor, Devlan Wesley Melancon, Alan Lee Powell
Hearing Site: New Orleans, LA
| | Expungement |
| 19-03051 | 01/21/2022 | Claimant(s): Robert Ratcliff, Ratcliff Investments
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Mark A. Myers, Alan Lee Powell, James Wesley Bearden
Hearing Site: New Orleans, LA
| | $433,000 |
| 21-00296 | 01/21/2022 | Claimant(s): Marjorie Ullerich
Claimant Lawyers(s): F. Chet Taylor
Respondent(s): Independent Financial Group.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Phyllis Karasov, Michael S. Jordan, Alain Frecon
Hearing Site: Minneapolis, MN
| | $170,425 |
| 20-03501 | 01/21/2022 | Claimant(s): David E. Hillin IRA, David and Denise Hillin Trust
Claimant Lawyers(s): D. Daxton White
Respondent(s): Geneos Wealth Management
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Lynne M. Gomez, Paul E. Dahlman, Michael D. Briggs
Hearing Site: Oklahoma City, OK
| | Expungement |
