22-00090 | 08/29/2024 | Claimant(s): International Assets Advisory, International Assets Investment Mgmt LLC Claimant Lawyers(s): Joshua A. Katz Respondent(s): Jacob Jansen Respondent Lawyers(s): Joseph B. Alonso Arbitrator(s): Michael J. Meeusen, Thomas J. Gmeinder, James Martell Martin Hearing Site: Minneapolis, MN
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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 |
21-01931 | 08/05/2022 | Claimant(s): Grant R. Lambert Lim Access TR DTD 12-27 Claimant Lawyers(s): Robert Kerrigan Respondent(s): Worden Capital Management LLC, Jamie Worden, Michael Valdini Respondent Lawyers(s): Jamie John Worden, Michael Anthony Valdini Arbitrator(s): Thomas J. Gmeinder, Frederick Ramos, Jo Anne F. Lewellen Hearing Site: Minneapolis, MN
| | $305,000 |
22-00854 | 05/05/2022 | Claimant(s): Grant R. Lambert Lim Access TR DTD 12-27 Claimant Lawyers(s): Robert Kerrigan Respondent(s): Dwayne Bullen, Joseph Valdini Respondent Lawyers(s): Dwayne Jude Bullen, Joseph Francis Valdini Arbitrator(s): Thomas J. Gmeinder Hearing Site: Minneapolis, MN
| | $1,277,630 |
19-02853 | 09/11/2020 | Claimant(s): Craig Zeeb Claimant Lawyers(s): Dochtor Kennedy Respondent(s): U.S. Bancorp Investments. Respondent Lawyers(s): Trevor Brown Arbitrator(s): Thomas J. Gmeinder Hearing Site: Minneapolis, MN
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18-03461 | 11/04/2019 | Claimant(s): Jeffrey Rathmanner Claimant Lawyers(s): Brooke D. Anthony Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Ira G. Rosenstein Arbitrator(s): Thomas J. Gmeinder, Michael Herring, Lindsay Keller Hearing Site: Minneapolis, MN
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18-02430 | 03/01/2019 | Claimant(s): Jonathan Pyne Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Berthel, Fisher & Company Financial Serv Respondent Lawyers(s): Shelley Davenport Arbitrator(s): Thomas J. Gmeinder Hearing Site: Minneapolis, MN
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16-03495 | 01/11/2019 | Claimant(s): Rodney Schurg Claimant Lawyers(s): Kimberley P. Cronin Respondent(s): Edward Jones Respondent Lawyers(s): Julie L. Taylor Arbitrator(s): Thomas J. Gmeinder, Jeffrey W. Jacobs, Tina Alison Davis Hearing Site: Denver, CO
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17-03450 | 08/09/2018 | Claimant(s): Thomas Brandt Claimant Lawyers(s): Eric Litow Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Jonathan C. Schwartz Arbitrator(s): Thomas J. Gmeinder Hearing Site: Minneapolis, MN
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15-00680 | 09/08/2017 | Claimant(s): Peter Izmirian, Sandra Ingwaldson Claimant Lawyers(s): Jonathan M. Harris Respondent(s): Mark Holt Respondent Lawyers(s): Mark David Holt Arbitrator(s): Thomas J. Gmeinder, Kerry C. Koep Hearing Site: Minneapolis, MN
| | $477,650 |