| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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 |
| 16-00856 | 06/09/2017 | Claimant(s): Thomas Lally, Thomas C. and Nancy G. Lally Rev Trust
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Donald DeWaay, DeWaay Capital Management., DeWaay Financial Network
Respondent Lawyers(s): Donald Gene DeWaay, Donald Dewaay, Kristi Irving
Arbitrator(s): Thomas J. Gmeinder, Betty R. Crumpton, Thomas J. Duff
Hearing Site: Des Moines, IA
| | $880,425 |
