| 17-03355 | 11/15/2018 | Claimant(s): Charles Duddingston
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): Ann McCague
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
| | |
| 17-02345 | 06/18/2018 | Claimant(s): Richard Walsh
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Trident Partners Ltd.
Respondent Lawyers(s): Eric J. Sussman
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
|  | $16,778 |
| 16-00295 | 12/29/2017 | Claimant(s): Feltl & Company
Claimant Lawyers(s): Steven Phillips
Respondent(s): Mark Fautsch
Respondent Lawyers(s): Jonathan P. Norrie
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
| | |
| 16-02453 | 12/29/2017 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Andrew Shapren
Respondent(s): Jeffrey Olson
Respondent Lawyers(s): Aaron R. Hartman
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
| | |
| 16-03159 | 08/25/2017 | Claimant(s): Jeffrey Thoele
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Next Financial Group., The O.N. Equity Sales Company, Walnut Street Securities.
Respondent Lawyers(s): Jeremy Carr, John Unger, Mark E. Elsener
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
| | |
| 15-02532 | 06/23/2017 | Claimant(s): Audrey Woznicki, Clark Woznicki
Claimant Lawyers(s): David Liebrader
Respondent(s): Levi Lindemann
Respondent Lawyers(s): Levi David Lindemann
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
| | $190,300 |
| 16-02706 | 03/03/2017 | Claimant(s): KBS Capital Markets Group LLC
Claimant Lawyers(s): Eric S. Beane
Respondent(s): Jason Johnson
Respondent Lawyers(s): Elizabeth Ridley Gelderman
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
| | |
| 13-00092 | 12/19/2016 | Claimant(s): Brad Burns, B&B Sheet Metal & Roofing., R&B Management LLP
Claimant Lawyers(s): Stephen W. Hance
Respondent(s): Marcus Renslow, Major League Capital, United Securities Alliance.
Respondent Lawyers(s): Jeffrey Cannella, Marcus A. Renslow
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
| | Expungement |
| 16-00093 | 07/19/2016 | Claimant(s): Kennedy Gisege
Claimant Lawyers(s): Kennedy Gisege
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
| | $0 |
| 13-01062 | 10/29/2013 | Claimant(s): James Clifford, John Clifford, Robert Clifford
Claimant Lawyers(s): Bruce Sanders
Respondent(s): Daniel Bakke, Edward Jones
Respondent Lawyers(s): Troy Groat
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
| | $425 |
