10-03580 | 10/12/2011 | Claimant(s): Jerry Douglas Claimant Lawyers(s): R. Allen Kilgore Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Frank W. Virgin, Ronald Griffith Wilkins, E. Trice Laird Hearing Site: Birmingham, AL
| | Expungement |
10-03226 | 07/20/2011 | Claimant(s): Ann Ozark Claimant Lawyers(s): Joseph L. Ozark Respondent(s): Ameriprise Financial Services., Joyce Hoban Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Bernard Herman Hearing Site: Philadelphia, PA
| | $75 |
09-05884 | 02/18/2011 | Claimant(s): Woodrow & Joyce Vermillion Claimant Lawyers(s): Randall S. Strause Respondent(s): Dean Donohue, Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Allan Weiss Hearing Site: Louisville, KY
| | Stipulated Award and Expungement |
08-01369 | 05/10/2010 | Claimant(s): Diane Zodikoff, John Rausch Claimant Lawyers(s): Amanda P. Lenhart Respondent(s): Ameriprise Advisor Services., Robert Bilo Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Peter L. Pointer, James P. McCrocklin, Edmund P. Pultinas Hearing Site: Cincinnati, OH
| | $56,978 |
09-01789 | 05/06/2010 | Claimant(s): Robert Palumbo Claimant Lawyers(s): Robert Palumbo Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Robert M. Goldstein, Lori H. Carena, Joan Marie Chiusano Hearing Site: New York, NY
| | $0 |
09-00388 | 02/19/2010 | Claimant(s): Helen Prasil, John J. & Helen R. Prasil Rev.Trust Claimant Lawyers(s): Christopher T Davis Respondent(s): Ameriprise Financial Services., John Janes, Kari Douglas, Patty Nash, Randall Ehleringer, Ehleringer, Douglas & Associates Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Emily F. Seesel, Joyce G. Gordon, Richard W. Thiele Hearing Site: Minneapolis, MN
| | Stipulated Award and Expungement |
09-00503 | 11/13/2009 | Claimant(s): Andrew Krynik Claimant Lawyers(s): David C. Gunn Respondent(s): Ameriprise Advisor Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Edward J. Lynch Hearing Site: Dallas, TX
| | $18,039 |
07-03163 | 12/30/2008 | Claimant(s): Robert Bonds and Gilda Bonds Claimant Lawyers(s): Dan K. Worthington Respondent(s): Ameriprise Advisor Services., Robert Bullock Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): W. Merrill Glasgow, Timothy L. Andrews, William A. Allen Hearing Site: Houston, TX
| | Expungement |
07-03419 | 07/14/2008 | Claimant(s): Jack Bush Claimant Lawyers(s): Jack R. Bush Respondent(s): Ameriprise Advisor Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Danielle L. Hargrove Hearing Site: Houston, TX
| | $163 |
06-04416 | 10/25/2007 | Claimant(s): Franklin Fitch Claimant Lawyers(s): Richard J. Edson Respondent(s): Ameriprise Advisor Services., Manish Mukhi Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Paul Davis Pearlstein, Deborah Page Aune, Olivia Milbank Farrar Hearing Site: Washington, DC
| | Stipulated Award and Expungement |