| 23-01648 | 07/29/2024 | Claimant(s): Robin Garner
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): Craig-Hallum Capital Group LLC
Respondent Lawyers(s): Terrence J. Fleming
Arbitrator(s): John P. Cullem, Oliver J. Janney, Monique Mavour
Hearing Site: Tampa, FL
| | |
| 21-01248 | 08/18/2022 | Claimant(s): Julie Erickson
Claimant Lawyers(s): Terrence J. Fleming
Respondent(s): Jed Bandes, Peter Taurinskas, Mutual Trust Company of America Securiti
Respondent Lawyers(s): Robert Persante
Arbitrator(s): Tracy L. Allen, William Benjamin Gavzy, Jonathan Bruce Kvasnik
Hearing Site: Minneapolis, MN
|  | Expungement |
| 08-02601 | 03/05/2010 | Claimant(s): Piper Jaffray & Co.
Claimant Lawyers(s): Terrence J. Fleming
Respondent(s): Christopher Peterson, Cole Ryba, David Holden, Stifel, Nicolaus & Co.., John Kuny, John Pinto, Lindsay Paine, Michael Loop, Michael Pellicci, Neil Koepcke, Stephen Tufo, Zigmund Peret
Respondent Lawyers(s): Richard Kuhlman
Arbitrator(s): Judith A. Rogosheske, Jack D. Elmquist, Edward C. Oliver
Hearing Site: Minneapolis, MN
| | |
| 08-04398 | 11/12/2009 | Claimant(s): Northern Oil and Gas.
Claimant Lawyers(s): Matthew T. Boos
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Terrence J. Fleming
Arbitrator(s): Douglas G. Plank, Emily F. Seesel, Duane W. Krohnke
Hearing Site: Minneapolis, MN
| | $875,352 |
| 09-02516 | 10/12/2009 | Claimant(s): Kenneth Cherrier
Claimant Lawyers(s): Terrence J. Fleming
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Irene E. Bassock
Arbitrator(s): James A. Lundberg, Loyall E. Wilson, Donald Ray McNeil
Hearing Site: Minneapolis, MN
| | |
| 08-00018 | 02/03/2009 | Claimant(s): David DeYoung, Lorrie Turvold
Claimant Lawyers(s): James H. Kaster
Respondent(s): Marc Kozberg, Michael Leonard, The Oak Ridge Financial Services Group,
Respondent Lawyers(s): Terrence J. Fleming
Arbitrator(s): Frederick Ramos, David A. Peterson, Frank Abramson
Hearing Site: Minneapolis, MN
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