| 13-01983 | 03/27/2014 | Claimant(s): Barbara Ochs
Claimant Lawyers(s): James A. Scott
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Theodore Haynes
Hearing Site: Orlando, FL
|  | $213 |
| 13-02263 | 03/19/2014 | Claimant(s): Kelly Curran
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): Bart Ellis, Ameriprise Financial Services.
Respondent Lawyers(s): Bart James Ellis, Susan E. Sheely
Arbitrator(s): Carol McHugh Sanders
Hearing Site: Chicago, IL
| | $43,444 |
| 13-00534 | 02/10/2014 | Claimant(s): William Fitzpatrick
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Maxel (Bud) B. Silverberg, C. Sumpter Logan, George Young Banks
Hearing Site: Dallas, TX
| | $0 |
| 12-01256 | 01/13/2014 | Claimant(s): Julie Amergian
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Robert S. Hark, Christopher C. Gorski, Peter L. Murray
Hearing Site: Augusta, ME
| | Expungement |
| 12-02416 | 11/19/2013 | Claimant(s): Betty Gallagher, Patrick Gallagher
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Patricia B. Lehtola, Anita M. Jean, Gerald Ray Waterston
Hearing Site: Dallas, TX
| | Expungement |
| 12-02127 | 10/31/2013 | Claimant(s): Cheri Klimpel
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Larry T. Coady
Hearing Site: Portland, OR
| | Expungement |
| 13-00803 | 10/10/2013 | Claimant(s): Cynthia Lowe IRA, W.E. Lowe II IRA, W.E. Lowe II & William P Lowe T.I.C
Claimant Lawyers(s): T. John Kirk
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Robert T. Allen
Hearing Site: Columbia, SC
| | $240 |
| 13-00001 | 10/04/2013 | Claimant(s): Kevin Hardesty
Claimant Lawyers(s): Kevin E. Hardesty
Respondent(s): Gary Jurden, Riversource Distributors.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): James John Jurinski
Hearing Site: Portland, OR
| | $23,366 |
| 13-00829 | 08/29/2013 | Claimant(s): Fred Bauries IRA
Claimant Lawyers(s): T. John Kirk
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Julian F. Santos
Hearing Site: New York, NY
| | $25,518 |
| 12-02957 | 06/24/2013 | Claimant(s): Helen Hall
Claimant Lawyers(s): Thomas F. Shine
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Gayle B. Carlson
Hearing Site: Orlando, FL
| | $11,657 |
