| 18-02536 | 08/12/2019 | Claimant(s): Joan Mayes
Claimant Lawyers(s): Ralph W. Heninger
Respondent(s): LPL Financial LLC, Jeff Newburn
Respondent Lawyers(s): Brian Harlan, Dochtor Kennedy
Arbitrator(s): Leo G. Stern
Hearing Site: Des Moines, IA
|  | Expungement |
| 17-02191 | 03/05/2019 | Claimant(s): Doyle Kjellsen, Karen Kjellsen
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Morgan Stanley, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Demian J Betz, Jeremy S. Winer
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
| | $0 |
| 18-00977 | 08/22/2018 | Claimant(s): Marc Lowenthal, UTMA
Claimant Lawyers(s): Garry Lowenthal
Respondent(s): Feltl & Company
Respondent Lawyers(s): Mitchell Edwards
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
| | $88 |
| 16-02807 | 12/29/2017 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Travis Chapin
Respondent(s): Sean Daly
Respondent Lawyers(s): Sean Declan Daly
Arbitrator(s): F. Chet Taylor, Leo G. Stern, Frank Abramson
Hearing Site: Minneapolis, MN
| | |
| 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 |
| 15-01494 | 08/08/2016 | Claimant(s): Mark Savage, M1 Capital Advisors LLC
Claimant Lawyers(s): Samuel M. Johnson
Respondent(s): Halcyon Cabot Partners, Ltd.
Respondent Lawyers(s): Ronald Heineman
Arbitrator(s): Douglas Randall Blohm, Frederick Ramos, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $132,925 |
| 15-03354 | 06/15/2016 | Claimant(s): Farbod Farahan
Claimant Lawyers(s): Farbod Farahan
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
| | $0 |
| 15-00701 | 05/31/2016 | Claimant(s): Ted Mazurek
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Oppenheimer & Co.., John Wilson
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Emily B. Boote, David F. Schmitz, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $0 |
| 12-02826 | 01/25/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Joshua Maddux
Respondent Lawyers(s): Joshua A. Maddux
Arbitrator(s): Jeffrey A. Schuh, Leo G. Stern, John M. James
Hearing Site: Minneapolis, MN
| | |
| 14-01307 | 07/16/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
| | |
