| 10-02369 | 06/24/2011 | Claimant(s): Dennis Soderstrum
Claimant Lawyers(s): Brenton D. Soderstrum
Respondent(s): Ronald Helland, Berthel, Fisher & Company
Respondent Lawyers(s): Vincent D. Louwagie
Arbitrator(s): P. J. Boylan, Douglas A. Spier, Mark E. Schantz
Hearing Site: Des Moines, IA
|  | $20,000 |
| 09-04523 | 10/13/2010 | Claimant(s): Marcia Rasmussen, Richard Rasmussen
Claimant Lawyers(s): Rodney K. Vincent
Respondent(s): Daniel FeltzL Financial Corporation
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): George A. Abbott, Douglas A. Spier, John R. Loss
Hearing Site: Omaha, NE
| | $0 |
| 07-02572 | 12/01/2008 | Claimant(s): Shirley Hurd, Shirley H. Hurd Family Trust
Claimant Lawyers(s): Steven E. Achelpohl
Respondent(s): Citigroup Global Markets., Teri Wilson, Terrence Devlin
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): James C. Morrow, Douglas A. Spier, Ken L. Andersen
Hearing Site: Omaha, NE
| | Stipulated Award and Expungement |
| 07-03016 | 08/14/2008 | Claimant(s): H.C. Wainwright & Co..
Claimant Lawyers(s): Michael Stolper
Respondent(s): Legent Clearing LLC
Respondent Lawyers(s): Michael P. McCloskey
Arbitrator(s): Rhonda S. McCarthy, James A. Ricketts, Douglas A. Spier
Hearing Site: Omaha, NE
| | |
