| 20-01721 | 09/22/2022 | Claimant(s): John Ewine
Claimant Lawyers(s): David W. Porteous
Respondent(s): John Orlando, Richard Rappaport, Newport Coast Securities., Westpark Capital.
Respondent Lawyers(s): Kevin Lee, Nancy L. Hendrickson, Todd A. Zuckerbrod
Arbitrator(s): Martin D. Munic, Thomas J. Gmeinder, Steven M. Bialick
Hearing Site: Minneapolis, MN
|  | 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 |
| 20-00636 | 10/15/2021 | Claimant(s): Howard Merrill, Howard Merrill Rev Living Tr U/A 2/9/15, Howard R. Merrill TTEE
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): National Securities Corporation, Thomas Kelly
Respondent Lawyers(s): Fred N. Knopf, Robert M. Bursky
Arbitrator(s): Steven M. Bialick
Hearing Site: Minneapolis, MN
| | Expungement |
| 20-00868 | 11/06/2020 | Claimant(s): Steven Ferretti
Claimant Lawyers(s): Brian Luther
Respondent(s): Morgan Stanley DW Inc., AIG Capital Services.
Respondent Lawyers(s): Jeremy S. Winer, Michael S. Cargnel
Arbitrator(s): Steven M. Bialick
Hearing Site: Minneapolis, MN
| | |
| 20-02075 | 10/26/2020 | Claimant(s): Capital Financial Services.
Claimant Lawyers(s): Gordon D. Dihle
Respondent(s): Steven Knuttila
Respondent Lawyers(s): Steven Roland Knuttila
Arbitrator(s): Steven M. Bialick
Hearing Site: Minneapolis, MN
| | |
| 18-03369 | 03/16/2020 | Claimant(s): Thomas Mayberry
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): John B. Orenstein, Steven M. Bialick, Lindsay Keller
Hearing Site: Minneapolis, MN
| | $0 |
| 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 |
| 15-02810 | 10/09/2018 | Claimant(s): Bonnie Faleschini, David Plimpton, Randy Reinke, Richard Faleschini, Sally Redding, Susan Plimpton, Tim Redding
Claimant Lawyers(s): Steven J. Weintraut
Respondent(s): Charles Zajicek, Christopher Most, Wachovia Securities, Wells Fargo Advisors, Wells Fargo Clearing Services
Respondent Lawyers(s): Miriam G. Bahcall
Arbitrator(s): Steven R. Christensen, Michael F. Jordan, Steven M. Bialick
Hearing Site: Minneapolis, MN
| | $430,000 |
| 16-03388 | 09/25/2018 | Claimant(s): Robert Anderson
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Wells Fargo Advisors, Raymond Kvalvog
Respondent Lawyers(s): Demian John Betz, Michael E.. Rowe
Arbitrator(s): Daniel M. Yamshon, William Michael Samsel, Steven M. Bialick
Hearing Site: Minneapolis, MN
| | $75,384 |
| 17-00990 | 08/08/2018 | Claimant(s): John Gherty, M. Anne Gherty
Claimant Lawyers(s): Matthew T. Boos
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Randall Johnson
Respondent Lawyers(s): Joseph A. Sack, Joseph W. Anthony
Arbitrator(s): Kerry C. Koep, Steven M. Bialick, Gregory John Peterson
Hearing Site: Minneapolis, MN
| | $150,410 |
