18-00211 | 04/11/2019 | Claimant(s): Cletus Gernes Claimant Lawyers(s): Sean M. Sweeney Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Arthur Richard Tow, Susan M. Sanger, William Joseph Caprathe Hearing Site: Minneapolis, MN
| | Expungement |
17-02127 | 04/17/2018 | Claimant(s): Christopher Haist Claimant Lawyers(s): Christopher Scott Haist Respondent(s): Lincoln Financial Distributors. Respondent Lawyers(s): Michael W. Arnold Arbitrator(s): Jack D. Elmquist, Michael L. Weiner, Arthur Richard Tow Hearing Site: Minneapolis, MN
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15-00770 | 03/06/2017 | Claimant(s): Michael Freese Claimant Lawyers(s): Bruce D. Oakes Respondent(s): Waveland Capital Partners LLC Respondent Lawyers(s): Brett G. Evans Arbitrator(s): Thomas F. Mahoney, Arthur Richard Tow, Mark A. Frankel Hearing Site: Des Moines, IA
| | $70,000 |
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 |
14-01145 | 11/13/2014 | Claimant(s): David Hillard Claimant Lawyers(s): Rodney J. Heggy Respondent(s): John Hilliard, Sue Hauff Respondent Lawyers(s): John E. Hilliard, Sue Hauff Arbitrator(s): Jerry D. Mc Cormack, Arthur Richard Tow, Danielle L. Anderson Hearing Site: Rapid City, SD
| | Expungement |
13-00137 | 03/03/2014 | Claimant(s): Cheryl Christiansen Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Edward Jones Respondent Lawyers(s): Dennis J. Capriglione Arbitrator(s): Terry F. Peppard, Arthur Richard Tow, Verne R. Gray Hearing Site: Des Moines, IA
| | Expungement |
08-04425 | 05/14/2010 | Claimant(s): Guenther Roth Claimant Lawyers(s): Thomas E. Jamison Respondent(s): David Tysk, Ameriprise Financial Services. Respondent Lawyers(s): John Rock Arbitrator(s): Kathy A. Tatone, Arthur Richard Tow, Gary L. Hansen Hearing Site: Minneapolis, MN
| | $466,000 |
06-05107 | 07/28/2009 | Claimant(s): Thomas Powell, Thomas L. Powell, IRA Claimant Lawyers(s): Donald M. Feferman Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): J. Jackson Arbitrator(s): Robert E. Robertson, Lawrence R. Commers, Arthur Richard Tow Hearing Site: Minneapolis, MN
| | $0 |
08-00826 | 07/27/2009 | Claimant(s): Deborah Pederson Claimant Lawyers(s): William J. Egan Respondent(s): RBC Capital Markets Corporation Respondent Lawyers(s): Melissa Raphan Arbitrator(s): Joyce G. Gordon, Arthur Richard Tow, Brett W. Olander Hearing Site: Minneapolis, MN
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07-03069 | 10/02/2008 | Claimant(s): Jeffrey Nielsen, Evans Creek, Guaranty Escrow Of MN., Hidden Glade Properties Claimant Lawyers(s): James K. Langdon Respondent(s): Darin Beckering, Charles Schwab & Co.. Respondent Lawyers(s): Gregory M. Scanlon Arbitrator(s): Mark S. Gleason, Lee T. Beske, Arthur Richard Tow Hearing Site: Minneapolis, MN
| | $542,340 |