| 15-03309 | 01/18/2017 | Claimant(s): Laudine L. Ploetz, 1985 Trust
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ryan G. Fant
Arbitrator(s): Barry Goldman, Jeffrey W. Jacobs, Alain Frecon
Hearing Site: Minneapolis, MN
|  | $0 |
| 15-00701 | 05/31/2016 | Claimant(s): Ted Mazurek
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Oppenheimer & Co.., John Wilson
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Emily B. Boote, David F. Schmitz, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $0 |
| 14-01009 | 08/07/2015 | Claimant(s): Joan Christenson, Joan M. Christenson Revocable Trust
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Paul Schmidt, SII Investments.
Respondent Lawyers(s): John Rock
Arbitrator(s): Kevin D. Hofman, David F. Schmitz, Wayne A. Robinson
Hearing Site: Minneapolis, MN
| | $72,048 |
| 10-03277 | 08/05/2011 | Claimant(s): Claire Chen Custodial Account, Joelle Chen Custodial Account, Marcus Chen Custodial Account, Katy Chen Roth IRA, Teh Chen Roth IRA, Katy Chen and Ten Chen JT
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Emily B. Boote
Hearing Site: Minneapolis, MN
| | Expungement |
| 09-06559 | 03/07/2011 | Claimant(s): Allyn Husman, JoAnn Husman
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Ralph Schneider, Ronald Kerher, Okoboji Financial Services.
Respondent Lawyers(s): President of the Company, Ralph R. Schneider, William D. Nelson
Arbitrator(s): Kevin D. Hofman, Susan M. Sanger, Wayne A. Robinson
Hearing Site: Minneapolis, MN
| | $299,400 |
| 09-03611 | 07/15/2010 | Claimant(s): Arlyn E. Hanson IRA, Priscilla E. Hanson IRA, Priscilla E. Hanson & Arlyn E. Hanson, Arlyn E. Hanson Trust, Priscilla E. Hanson Trust
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Kenneth Kauth, Wells Fargo Advisors
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Gerald M. Gifford, Douglas Randall Blohm, Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | $0 |
| 09-03577 | 05/19/2010 | Claimant(s): Richard Johnson
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Michael Wittenberg
Respondent Lawyers(s): Michael Scott Wittenberg
Arbitrator(s): Lawrence R. Commers, John R. Kelly, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $170,521 |
| 08-02118 | 05/29/2009 | Claimant(s): Gary L. Wilhelm, IRA
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kelly J. Moynihan
Arbitrator(s): Frederick Ramos
Hearing Site: Minneapolis, MN
| | $14,570 |
| 06-03915 | 10/12/2007 | Claimant(s): Richard Nadler
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Wells Fargo Investments, Wells Fargo Brokerage Services
Respondent Lawyers(s): Lawrence T. Hofmann
Arbitrator(s): Jack D. Elmquist, Jeffrey W. Jacobs, Bradley A. Erickson
Hearing Site: Minneapolis, MN
| | $0 |
