| 13-01740 | 08/20/2014 | Claimant(s): Juliet Miyahara
Claimant Lawyers(s): Alice L. Stewart
Respondent(s): Ameriprise Financial Services., Joanne Watanabe
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Honolulu, HI
|  | $15,425 |
| 13-03349 | 07/16/2014 | Claimant(s): J Simmons
Claimant Lawyers(s): J Kim Simmons
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Suanne M. Parro
Hearing Site: Denver, CO
| | |
| 12-01403 | 01/28/2014 | Claimant(s): Peter Kelly
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Anthony Nofi, Ameriprise Financial Services., H&R Block Financial Advisors n/k/a Ameri
Respondent Lawyers(s): Howard M. Klausmeier, Howard Klausmeier
Arbitrator(s): Howard M. Miller, Susan Largay, Thomas P. Bowman
Hearing Site: Boston, MA
| | Expungement |
| 12-03447 | 01/09/2014 | Claimant(s): Joan McCauley
Claimant Lawyers(s): Joan McCauley
Respondent(s): Ameriprise Financial Services., Rush Hodgin
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Paul H. McKenna, Gregory P. Szuter, James G. Kirk
Hearing Site: Pittsburgh, PA
| | $0 |
| 12-01666 | 11/22/2013 | Claimant(s): Mary Georgiade
Claimant Lawyers(s): Brian R. Williams
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Ann Pinciss Berman
Hearing Site: New York, NY
| | $0 |
| 11-01804 | 01/31/2013 | Claimant(s): Candace Parkin, Robert Rubens
Claimant Lawyers(s): Robert Rubens
Respondent(s): Gerry Kostuk, Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Ralph M. Goren
Hearing Site: Chicago, IL
| | Expungement |
| 10-01154 | 11/03/2011 | Claimant(s): Ernest Perea, Rita Perea
Claimant Lawyers(s): Thomas S. Reavely
Respondent(s): Ameriprise Financial Services., Michael Franke, Ryan Surber
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Herbert S. Bratt, Andrew R. Dick, Daniel E. Wright
Hearing Site: Des Moines, IA
| | Expungement |
| 10-03672 | 11/03/2011 | Claimant(s): Dale Scholl
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Gregory G. Wille, James P. O'Donnell, Richard H. Porter
Hearing Site: Milwaukee, WI
| | Expungement |
| 09-04037 | 03/08/2011 | Claimant(s): Louis Bortolussi, Luanne Schafer, Nina Bortolussi
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Ameriprise Financial Services., William Bynum
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Robert J. Scafuri, Joseph R. Papo, Michael James Malone
Hearing Site: Detroit, MI
| | $30,000 |
| 09-01613 | 12/14/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Joshua R. Pini
Respondent(s): Edward Walterhouse
Respondent Lawyers(s): Ronald M. Amato
Arbitrator(s): Howard Mark Klausmeier, Roman S. Gribbs, Phillip I. Levin
Hearing Site: Detroit, MI
| | |
