| 23-03182 | 03/13/2024 | Claimant(s): Jon Drees
Claimant Lawyers(s): Jon Drees
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Grant D. Sanders
Hearing Site: Minneapolis, MN
|  | $0 |
| 21-02186 | 12/12/2022 | Claimant(s): Ronald Gagnon
Claimant Lawyers(s): Robert Kerrigan
Respondent(s): Worden Capital Management LLC, Jamie Worden, Michael Rosalia
Respondent Lawyers(s): Bruce Lewitas, Jamie John Worden, Michael Richard Rosalia
Arbitrator(s): LaVon C. Phillips, Grant D. Sanders, Frank Edward Hermann
Hearing Site: Minneapolis, MN
| | $130,000 |
| 20-00221 | 10/12/2021 | Claimant(s): John Kirchner, Patricia Kirchner, John and Patricia Kirchner JTWROS
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Cheryl Romann
Respondent Lawyers(s): Cheryl Lynn Romann
Arbitrator(s): Jeffrey W. Jacobs, Grant D. Sanders, John M. James
Hearing Site: Minneapolis, MN
| | Expungement |
| 19-02889 | 08/03/2021 | Claimant(s): Alioune Thiam
Claimant Lawyers(s): Alioune Thiam
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Frederick Ramos, Grant D. Sanders, Dana Roberts
Hearing Site: Minneapolis, MN
| | $0 |
| 19-02345 | 06/01/2020 | Claimant(s): Jay Thorp
Claimant Lawyers(s): F. Chet Taylor
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Phyllis Karasov, Grant D. Sanders, Buffie Ann Blesi
Hearing Site: Minneapolis, MN
| | |
| 19-02193 | 05/07/2020 | Claimant(s): William Bernard
Claimant Lawyers(s): William N. Bernard
Respondent(s): Stephen Zipkin, Steven Dash, Hallmark Investments.
Respondent Lawyers(s): Stephen Phillip Zipkin, Steven Gary Dash, Steven Dash
Arbitrator(s): Grant D. Sanders
Hearing Site: Minneapolis, MN
| | $0 |
| 19-01621 | 12/13/2019 | Claimant(s): Nathan Bergeland
Claimant Lawyers(s): Nathan Daniel Bergeland
Respondent(s): Gary Orcutt
Respondent Lawyers(s): Gary Warren Orcutt
Arbitrator(s): Grant D. Sanders
Hearing Site: Minneapolis, MN
| | |
| 15-01248 | 12/12/2017 | Claimant(s): Ronald Drake
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Anthony Salamone, Bruce Guarino, Glen Stifelman, Kenneth Severinsen, Kevin Sheehan Jr, Rockwell Global Capital LLC
Respondent Lawyers(s): Aegis J. Frumento, Anthony Patrick Salamone, Kenneth Lee Severinsen, Kevin Michael Sheehan Jr, Robert M. Bursky
Arbitrator(s): Grant D. Sanders
Hearing Site: Minneapolis, MN
| | $0 |
| 13-03542 | 06/16/2015 | Claimant(s): Steve Hawley and Susan M. Hawley
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Douglas J. Nesbit, Jeffrey A. Schuh, Grant D. Sanders
Hearing Site: Minneapolis, MN
| | Expungement |
| 12-01754 | 10/15/2014 | Claimant(s): Craig Jarvinen
Claimant Lawyers(s): JD Haas
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Kristina L. Carlson
Arbitrator(s): Craig A. Gordon, Grant D. Sanders, Mary Ellen McGinnis
Hearing Site: Minneapolis, MN
| | |
