14-02378 | 05/13/2015 | Claimant(s): Joseph & Sharon Nielsen Claimant Lawyers(s): Joseph A. Nielsen Respondent(s): Sogotrade. Respondent Lawyers(s): Robert J. Benbenek Arbitrator(s): Julie A. Hennen, Donald Ray McNeil, Leo G. Stern Hearing Site: Minneapolis, MN
| | $0 |
14-00499 | 04/02/2015 | Claimant(s): Benjamin F. Edwards & Company. Claimant Lawyers(s): Joseph W. Anthony Respondent(s): Janel Goff Respondent Lawyers(s): Donald R. McNeil Arbitrator(s): Bruce J. Nerland, Brett W. Olander, Leo G. Stern Hearing Site: Minneapolis, MN
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13-00830 | 10/17/2014 | Claimant(s): Thomas Mayberry Claimant Lawyers(s): James S. McCarthy Respondent(s): John Thomas Financial Respondent Lawyers(s): Joseph Castellano Arbitrator(s): Leo G. Stern Hearing Site: Minneapolis, MN
| | Stipulated Award |
14-00272 | 08/20/2014 | Claimant(s): Rodney Potratz Claimant Lawyers(s): Gara M. Seagraves Respondent(s): Malea Jensen Respondent Lawyers(s): Patrick B. White Arbitrator(s): Leo G. Stern, Daniel E. Wright, Grant D. Sanders Hearing Site: Des Moines, IA
| | Expungement |
13-02914 | 05/23/2014 | Claimant(s): John Van Ingen Claimant Lawyers(s): John Van Ingen Respondent(s): TD Ameritrade. Respondent Lawyers(s): Janine M. Lucas Arbitrator(s): Leo G. Stern Hearing Site: Minneapolis, MN
| | $25 |
13-00202 | 08/07/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Yana Kromo Respondent(s): Denise Thornburgh Respondent Lawyers(s): Denise L. Thornburgh Arbitrator(s): Leo G. Stern Hearing Site: Minneapolis, MN
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12-03585 | 05/07/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Jonathan Berg Respondent(s): David Anderson Respondent Lawyers(s): David Steven Anderson Arbitrator(s): Leo G. Stern Hearing Site: Minneapolis, MN
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10-01981 | 04/01/2013 | Claimant(s): Kristin Brown, Scott Haney Claimant Lawyers(s): Samuel Tenenbaum Respondent(s): Wells Fargo Investments, Kevin Shimota Respondent Lawyers(s): Vanessa Hoffmann Arbitrator(s): Leo G. Stern Hearing Site: Minneapolis, MN
| | Expungement |
11-04331 | 03/07/2013 | Claimant(s): Dale Stamer, Dan Schroeder, Darla Severding, David Steinke, Dennis Tucker, Dianna Sheets, Don Severding, Donna Medinger, Grant Christianson, Jerry Hartnell, Julie Schroeder, Kirk Sims, Lori Baylor, Michael Stamer, Neil Case, Pat Tucker, Patricia O'Callaghan, Randy Kingery, Richard Beltz, Rita Beltz, et al Claimant Lawyers(s): Gail E. Boliver Respondent(s): Thomas Berthel, Berthel, Fisher & Company Financial Serv Respondent Lawyers(s): Cory D. Olson Arbitrator(s): Leo G. Stern, Thomas L. Dueber, Grant D. Sanders Hearing Site: Des Moines, IA
| | $0 |
11-04056 | 01/25/2013 | Claimant(s): Craig Gould Claimant Lawyers(s): J. Jackson Respondent(s): Respondent Lawyers(s): Arbitrator(s): Emily B. Boote, Leo G. Stern, Kathleen Sweeney Tillotson Hearing Site: Minneapolis, MN
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