| 22-01504 | 08/24/2023 | Claimant(s): Terrence Ransom
Claimant Lawyers(s): Robert D. Loventhal
Respondent(s): Richard Gozola
Respondent Lawyers(s): Richard W. Gozola
Arbitrator(s): Emily B. Boote, Martin D. Munic, Phyllis Karasov
Hearing Site: Minneapolis, MN
|  | Expungement |
| 13-02892 | 12/06/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Patrick G. King
Respondent(s): Christopher Johnson, Randall Johnson
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Robert E. Robertson, Emily B. Boote, Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | |
| 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 |
| 13-02929 | 09/23/2014 | Claimant(s): James Kirk
Claimant Lawyers(s): Christopher P. Parrington
Respondent(s): Frank Mccarthy, Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Gerald M. Gifford, Emily B. Boote, Robert S. Burk
Hearing Site: Minneapolis, MN
| | |
| 12-03331 | 08/18/2014 | Claimant(s): Alice Haverstock, Diane Nelson, Judd Broyer, Marian Broyer, Broson Investment
Claimant Lawyers(s): Daniel B. Lipson
Respondent(s): Peter Voldness, Emergent Financial Group.
Respondent Lawyers(s): Randy J. Sparling
Arbitrator(s): Lawrence R. Commers, Emily B. Boote, John B. Orenstein
Hearing Site: Minneapolis, MN
| | $0 |
| 11-02400 | 12/23/2013 | Claimant(s): Bruce Carson
Claimant Lawyers(s): Christopher Parrington
Respondent(s): Charles Childs, Joshua Suter, Lynn Koczera, Blue Moon Financial, Nomilis
Respondent Lawyers(s): Charles E. Childs, Joshua Kweller, Lynn C. Koczera, Robert Lemon
Arbitrator(s): Kenneth O. Fossey, Emily B. Boote, Steven Eric Brandes
Hearing Site: Minneapolis, MN
| | $290,375 |
| 12-00257 | 12/16/2013 | Claimant(s): Donald Vandendriessche
Claimant Lawyers(s): Donald Vandendriessche
Respondent(s): Carmine Sarnelli, David Dambra, Rockwell Global Capital LLC
Respondent Lawyers(s): David J. Dambra, Robert M. Bursky
Arbitrator(s): Emily B. Boote, Donald Ray McNeil, Kathleen Sweeney Tillotson
Hearing Site: Minneapolis, MN
| | $0 |
| 12-03529 | 03/21/2013 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Brenda Aslyn
Respondent Lawyers(s): Brenda R. Aslyn
Arbitrator(s): Emily B. Boote
Hearing Site: Minneapolis, MN
| | |
| 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
| | |
| 12-00259 | 01/11/2013 | Claimant(s): Dorothy Sisam, Edwin Sisam, USA Hawaii Self Storage 1
Claimant Lawyers(s): J. Owen Murrin
Respondent(s): Workman Securities Corporation
Respondent Lawyers(s): Christopher P. Parrington
Arbitrator(s): Emily B. Boote, Debra Jean Griebel, Robert Lee Nelson
Hearing Site: Minneapolis, MN
| | $300,000 |
