| 22-01283 | 05/30/2023 | Claimant(s): Lisa Massar
Claimant Lawyers(s): Lisa B. Massar
Respondent(s): Wells Fargo Clearing Services, Johanna Laudicina, Lauren Matles, Ronald Sirt
Respondent Lawyers(s): Lindsay Wuller Aggarwal
Arbitrator(s): Jerry D. McCormack, Mark A. Frankel, Laura Anne Lamberg
Hearing Site: Milwaukee, WI
|  | Dismissed with Rule 12504 |
| 20-04110 | 08/31/2022 | Claimant(s): Anne Behm, Joseph Behm, Anne Behm on behalf of her IRA, Anne Behm on behalf of her TOD account, Joseph Behm on behalf of his IRA, Joseph Behm on behalf of his TOD account
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Cambridge Investment Research., Neal Thompson, Harbour Investments.
Respondent Lawyers(s): David A. Genelly, Lindsay Wuller Aggarwal, Mark L. Kowalsky
Arbitrator(s): Milton N. Gross, Ruth M. Moore, John F Mencer
Hearing Site: Denver, CO
| | Expungement |
| 20-03079 | 08/17/2022 | Claimant(s): Andrew Hughes
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Lindsay Wuller Aggarwal
Arbitrator(s): Susanne J. Hollander, Charles Kahn, Jennifer Bruzas
Hearing Site: Milwaukee, WI
| | |
| 18-03488 | 07/15/2022 | Claimant(s): James DeChene, James Dechene IRA
Claimant Lawyers(s): D. Daxton White
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Lindsay Wuller Aggarwal
Arbitrator(s): Michael S. Jordan, John M. James, Stephen J Beseres
Hearing Site: Minneapolis, MN
| | Expungement |
| 19-03453 | 07/10/2020 | Claimant(s): Kevin Pentz
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Lindsay Wuller Aggarwal
Arbitrator(s): Daniel B. MacLeod
Hearing Site: Seattle, WA
| | |
