| 20-02507 | 10/30/2024 | Claimant(s): Cinda Collins
Claimant Lawyers(s): Vincent D. Louwagie
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Kevin D. Hofman, Jo Anne F. Lewellen, Nathaniel Cade
Hearing Site: Minneapolis, MN
| | |
| 20-00127 | 08/27/2020 | Claimant(s): Melissa Kumalaputra
Claimant Lawyers(s): Frances Menzer
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | |
| 18-02898 | 01/24/2019 | Claimant(s): Jerry LaMaack
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): Feltl & Company
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Joan L. Volz
Hearing Site: Minneapolis, MN
|  | $45,572 |
| 18-02793 | 01/07/2019 | Claimant(s): IRA FBO Jerry Lee LaMaack
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): Feltl & Company
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Steven M. Bialick
Hearing Site: Minneapolis, MN
| | $17,418 |
| 17-00712 | 06/06/2018 | Claimant(s): Kirk Nelson
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Murray S. Levin, Philip J. Glick, Mary C. Davis
Hearing Site: Omaha, NE
| | $216,490 |
| 13-02892 | 12/06/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Patrick G. King
Respondent(s): Christopher Johnson, Randall Johnson
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Robert E. Robertson, Emily B. Boote, Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | |
| 14-00954 | 07/01/2015 | Claimant(s): Athrea Hedrick, Grace Brown, Estate of Sidney E. Berquam, Sidney E. Berquam Revocable Trust
Claimant Lawyers(s): Steven M. Phillips
Respondent(s): Mark Holt
Respondent Lawyers(s): Mark D. Holt
Arbitrator(s): Richard A. Mosman, Thomas J. Gmeinder, Lavon C. Phillips
Hearing Site: Minneapolis, MN
| | $497,190 |
| 11-02606 | 06/03/2014 | Claimant(s): Lee Benz
Claimant Lawyers(s): Richard Sacks
Respondent(s): Glen Darmos, Shelley Davenport, Berthel, Fisher & Company Financial
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Larry C. Kreul, Stuart Sinai, William M. Azkoul
Hearing Site: Detroit, MI
| | $300,000 |
| 12-04315 | 08/12/2013 | Claimant(s): Christine Cooperman, Clyde Cooperman, Paul Seyb, Wendy Seyb
Claimant Lawyers(s): Kristian P. Kyros
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Kevin D. Hofman, Jeffrey A. Schuh, Brett W. Olander
Hearing Site: Minneapolis, MN
| | Expungement |
| 12-01075 | 05/14/2013 | Claimant(s): Diane Hunt
Claimant Lawyers(s): David W. Miller
Respondent(s): Dougherty & Company LLC
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Joseph C. Roberts, Thomas R. Dreiling, Jerome O. Cohen
Hearing Site: Seattle, WA
| | Expungement |
