| 22-02737 | 06/06/2024 | Claimant(s): Rosenau Family Research Foundation
Claimant Lawyers(s): Donald R. McNeil
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Jeffrey W. Jacobs, Leo G. Stern, Joseph Darwin Kenyon
Hearing Site: Minneapolis, MN
|  | $7,342,000 |
| 23-02204 | 12/14/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Keith J. Barnett
Respondent(s): Mitchell Roby
Respondent Lawyers(s): Mitchell Roby
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
| | |
| 23-01044 | 11/16/2023 | Claimant(s): Michael Mc Conachie
Claimant Lawyers(s): Michael E. Rowe
Respondent(s): MML Investors Services
Respondent Lawyers(s): Julie E. Ravis
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
| | |
| 22-00450 | 07/25/2022 | Claimant(s): Todd T. Frisch
Claimant Lawyers(s): Todd T. Frisch
Respondent(s): Jonathan Krueger
Respondent Lawyers(s): Jonathan Paul Krueger
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
| | $0 |
| 21-01024 | 04/19/2022 | Claimant(s): Eugene Elvecrog, Paula Elvecrog, Eugene L. Elvecrog IRA, Eugene L. Elvecrog Family Income Trust, Eugene L. Elvecrog Trust, Paula M. Elvecrog Family Income Trust, Paula M. Elvecrog Trust
Claimant Lawyers(s): Michael Sutton MacDonald
Respondent(s): Anne Machesky, Ryan Haag, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Frederick Ramos, Leo G. Stern
Hearing Site: Minneapolis, MN
| | Expungement |
| 21-01192 | 01/28/2022 | Claimant(s): Reinhold Kunze
Claimant Lawyers(s): Thomas S. Reavely
Respondent(s): Myles Easter
Respondent Lawyers(s): Mark W. Thomas
Arbitrator(s): Leo G. Stern
Hearing Site: Des Moines, IA
| | $30,150 |
| 19-02196 | 11/12/2021 | Claimant(s): Michael Meyers
Claimant Lawyers(s): Michael MacDonald
Respondent(s): John Santariello
Respondent Lawyers(s): John Joseph Santariello
Arbitrator(s): Jack D. Elmquist, Leo G. Stern, John (Jack) Louis Neveaux
Hearing Site: Minneapolis, MN
| | $358,098 |
| 19-00571 | 08/04/2021 | Claimant(s): Darla D. Ward, Lawrence J. Ward
Claimant Lawyers(s): F. Chet Taylor
Respondent(s): Cheryl Romann, Donald Waage, John Carlson, Steven Knuttila, Capital Financial Services.
Respondent Lawyers(s): Cheryl Lynn Romann, David A. Baugh, Donald Waage, Gordon Dihle, Steven R. Knuttila
Arbitrator(s): Douglas J. Nesbit, Phyllis Karasov, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $939,300 |
| 19-02914 | 04/17/2020 | Claimant(s): Barry Eller
Claimant Lawyers(s): Barry Carson Eller
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Marcia A. Washkuhn
Arbitrator(s): Terrence J. Fleming, Barry Goldman, Leo G. Stern
Hearing Site: Des Moines, IA
| | |
| 19-02840 | 12/30/2019 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay E. Wuller
Respondent(s): John Church
Respondent Lawyers(s): John Dewey Church
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
| | |
