| 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 |
| 16-00450 | 08/31/2017 | Claimant(s): Prospera Financial Services.
Claimant Lawyers(s): Niel Prosser
Respondent(s): Alan Luttman
Respondent Lawyers(s): Donald R. McNeil
Arbitrator(s): David Evans Rosedahl, Kevin D. Hofman, Frederick Ramos
Hearing Site: Minneapolis, MN
| | |
| 16-02951 | 03/09/2017 | Claimant(s): KBS Capital Markets Group LLC
Claimant Lawyers(s): Eric S. Beane
Respondent(s): Andrew Schenk
Respondent Lawyers(s): Donald R. McNeil
Arbitrator(s): Jeffry M. Bauer
Hearing Site: St. Louis, MO
| | |
| 14-00499 | 04/02/2015 | Claimant(s): Benjamin F. Edwards & Company.
Claimant Lawyers(s): Joseph W. Anthony
Respondent(s): Janel Goff
Respondent Lawyers(s): Donald R. McNeil
Arbitrator(s): Bruce J. Nerland, Brett W. Olander, Leo G. Stern
Hearing Site: Minneapolis, MN
| | |
| 14-01098 | 01/13/2015 | Claimant(s): CliftonLarsonAllen Wealth Advisors
Claimant Lawyers(s): David P. Jendrzejek
Respondent(s): Jean Wolfe
Respondent Lawyers(s): Donald R. McNeil
Arbitrator(s): Lawrence R. Commers, Terrence J. Fleming, Thomas J. Gmeinder
Hearing Site: Minneapolis, MN
| | |
| 12-02075 | 03/06/2014 | Claimant(s): Katherine Williams
Claimant Lawyers(s): Christopher P. Parrington
Respondent(s): Daniel Rickett
Respondent Lawyers(s): Donald R. McNeil
Arbitrator(s): F. Chet Taylor, Andrew R. Dick, Phyllis Karasov
Hearing Site: Minneapolis, MN
| | |
| 11-03704 | 05/06/2013 | Claimant(s): Eugene Opatz, Ruth Opatz
Claimant Lawyers(s): Donald R. McNeil
Respondent(s): David Theis
Respondent Lawyers(s): Davis Alan Theis
Arbitrator(s): Peter N. Thompson, Brett W. Olander, Robert S. Burk
Hearing Site: Minneapolis, MN
| | $1,174,350 |
