| 14-02984 | 10/17/2016 | Claimant(s): Jean Kulsrud
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Lavon C. Phillips, Phyllis Karasov, Frank Abramson
Hearing Site: Minneapolis, MN
|  | Expungement |
| 15-01909 | 03/18/2016 | Claimant(s): Jerome Grohovsky, Naomi Grohovsky, JPG & Associates.
Claimant Lawyers(s): Joshua Kons
Respondent(s): Sagepoint Financial., Next Financial Group.
Respondent Lawyers(s): Debra L. Weiss, Greg Curley
Arbitrator(s): Ray J. Grzebielski, Lavon C. Phillips, Jerome B. Simon
Hearing Site: Minneapolis, MN
| | Dismissed by Rule 12206 |
| 13-03534 | 09/02/2015 | Claimant(s): Constance P. Kolberg, IRRA, Bruce A. Kolberg & Constance P. Kolberg
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): James H. Colburn, Arlen G. Restad, Lavon C. Phillips
Hearing Site: Minneapolis, MN
| | Expungement |
| 14-00954 | 07/01/2015 | Claimant(s): Athrea Hedrick, Grace Brown, Estate of Sidney E. Berquam, Sidney E. Berquam Revocable Trust
Claimant Lawyers(s): Steven M. Phillips
Respondent(s): Mark Holt
Respondent Lawyers(s): Mark D. Holt
Arbitrator(s): Richard A. Mosman, Thomas J. Gmeinder, Lavon C. Phillips
Hearing Site: Minneapolis, MN
| | $497,190 |
| 13-01049 | 09/27/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ken S. Massey
Respondent(s): Edward Grondahl
Respondent Lawyers(s): Edward Eric Grondahl
Arbitrator(s): Lavon C. Phillips
Hearing Site: Minneapolis, MN
| | |
| 10-00217 | 08/13/2010 | Claimant(s): Carol Halonen, Carol N Halonen, IRA
Claimant Lawyers(s): Carol N. Halonen
Respondent(s): Gerald Gries
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Lavon C. Phillips
Hearing Site: Minneapolis, MN
| | $0 |
