| 20-00221 | 10/12/2021 | Claimant(s): John Kirchner, Patricia Kirchner, John and Patricia Kirchner JTWROS
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Cheryl Romann
Respondent Lawyers(s): Cheryl Lynn Romann
Arbitrator(s): Jeffrey W. Jacobs, Grant D. Sanders, John M. James
Hearing Site: Minneapolis, MN
|  | Expungement |
| 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
| | |
| 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 |
| 15-00401 | 12/06/2016 | Claimant(s): Julie Koch, Larry Koch, Koch Partners, L.P.
Claimant Lawyers(s): Jesse H Kibort
Respondent(s): UBS Financial Services Inc., Susan Blount
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Jeffrey W. Jacobs, Arthur Richard Tow, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $0 |
| 13-00955 | 10/29/2014 | Claimant(s): Lorraine Witzel, Ralph Witzel
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): American Portfolios Financial Serv.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Richard A. Mosman, Jeffrey W. Jacobs, Kathy A. Tatone
Hearing Site: Minneapolis, MN
| | Expungement |
| 09-01518 | 03/13/2012 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Soukkay Keomysy
Respondent Lawyers(s): Adam A. Gillette
Arbitrator(s): Emily F. Seesel, Jeffrey W. Jacobs, John R. Lepley
Hearing Site: Minneapolis, MN
| | |
| 08-03921 | 11/09/2009 | Claimant(s): Ronald Hardy
Claimant Lawyers(s): Howard E. Greenberg
Respondent(s): Thomas Zulkowsky, Aura Financial Services.
Respondent Lawyers(s): Glenn M. Salvo, John Woodruff, Jr. Compliance
Arbitrator(s): Kathryn J. Hoy, Christine C. DeMoss, Jeffrey W. Jacobs
Hearing Site: Minneapolis, MN
| | $115,923 |
| 06-04930 | 11/13/2007 | Claimant(s): Earl Smith
Claimant Lawyers(s): Robert J. Hinsch
Respondent(s): Adam Novick, Craig Balsam, John Engelskirger, Leonard Monteforte, Timothy Daly
Respondent Lawyers(s): Adam Matthew Novick, Craig Stuart Balsam, John William Engelskirger, Leonard Frank Monteforte, Timothy James Daly
Arbitrator(s): F. Chet Taylor, Jeffrey W. Jacobs, Robert S. Burk
Hearing Site: Minneapolis, MN
| | $33,850 |
| 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 |
