| 16-03459 | 07/20/2017 | Claimant(s): Carl Pritchett
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley, Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier, Kimberly J. Gustafson
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
| | |
| 16-01261 | 06/27/2017 | Claimant(s): Jan Tullis, Scott Tullis
Claimant Lawyers(s): Joshua L. Ross
Respondent(s): Andrew Hall, Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Rick D. Hampton, Stephany Adriene Watson, Paul R. Meyer
Hearing Site: Portland, OR
|  | $191,772 |
| 16-02347 | 06/22/2017 | Claimant(s): Jane An
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | |
| 16-00036 | 05/17/2017 | Claimant(s): Richard Patterson, Richard Patterson Rev Liv Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Ron Pekoe, Mark R. Topper, Stuart K. Furman
Hearing Site: Orlando, FL
| | Expungement |
| 16-01211 | 05/02/2017 | Claimant(s): Sid Ironson
Claimant Lawyers(s): Sid Ironson
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Dale S. Cronnell, Sean Michael Peoples, Sean Alan D'Amico
Hearing Site: Hartford, CT
| | |
| 16-01866 | 02/07/2017 | Claimant(s): David Miller
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Chandler R Bridges, Michael J. Stern, John F. Allgood
Hearing Site: Atlanta, GA
| | |
| 16-02431 | 01/30/2017 | Claimant(s): Thomas Freitag
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Milwaukee, WI
| | |
| 14-02448 | 08/22/2016 | Claimant(s): Roger A. Papa Trust
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Timothy J. Currier, Michael J. Meeusen, Benjamin A. Kerner
Hearing Site: Detroit, MI
| | $0 |
| 15-00286 | 04/12/2016 | Claimant(s): Alan Silverstein, Karen Silverstein
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard W. Cutler, James S. Hazard, Ronald F. Rosner
Hearing Site: New York, NY
| | $0 |
| 14-02873 | 01/11/2016 | Claimant(s): Arts and Humanities Foundation
Claimant Lawyers(s): John A. Umhoefer
Respondent(s): Daniel Steffes, Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Peter N. Thompson, Phillip I. Finkelstein, Michael A. DePompolo
Hearing Site: Minneapolis, MN
| | $0 |
