| 18-04142 | 08/05/2019 | Claimant(s): Daniel Lauletta
Claimant Lawyers(s): Michael Charlillo
Respondent(s): Ameriprise Financial Services., Cetera Advisor Networks LLC, Walnut Street Securities.
Respondent Lawyers(s): Howard M. Klausmeier, Joseph Simms
Arbitrator(s): Michael L. Fortney
Hearing Site: Cleveland, OH
| | |
| 18-03643 | 07/29/2019 | Claimant(s): Charles Simmons
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Christine L. Stetson
Hearing Site: New Orleans, LA
| | |
| 18-00527 | 07/26/2019 | Claimant(s): Zoe Cordova-McCarthy, Liberty Lighting & Fixture Supply Co.
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Ameriprise Financial Services., Riversource Distributors.
Respondent Lawyers(s): Ben Suter
Arbitrator(s): Peter H. Daly, Philip Aaron Tymon, Brian Kimball
Hearing Site: San Francisco, CA
|  | Expungement |
| 17-03080 | 07/19/2019 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Jeffrey Krupnick
Respondent Lawyers(s): Jeffrey E. Krupnick
Arbitrator(s): Richard S. Zaifert
Hearing Site: Tampa, FL
| | |
| 18-04320 | 06/28/2019 | Claimant(s): Matthew Couzens
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
| | |
| 18-04002 | 06/28/2019 | Claimant(s): Estate of Loraine Neitzel
Claimant Lawyers(s): David M. White
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
| | $0 |
| 18-00772 | 06/26/2019 | Claimant(s): Laurence Pierron
Claimant Lawyers(s): Laurence Pierron
Respondent(s): Ameriprise Financial Services., Jennifer Ibarguen
Respondent Lawyers(s): Gerry A. Giurato
Arbitrator(s):
Hearing Site: Dallas, TX
| | |
| 18-00523 | 06/25/2019 | Claimant(s): Laurence Pierron
Claimant Lawyers(s): Laurence Pierron
Respondent(s): Ameriprise Financial Services., Jennifer Ibarguen
Respondent Lawyers(s): Gerry A. Giurato
Arbitrator(s): Patricia Beaujean Lehtola, Andrea U. Calve, Henry J. Ackels
Hearing Site: Dallas, TX
| | |
| 18-00748 | 06/12/2019 | Claimant(s): Vincent Camarda
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
| | |
| 17-01872 | 06/03/2019 | Claimant(s): Jackie Galop, Jerry Welch, Louis Richards Estate
Claimant Lawyers(s): Jason T. Albin
Respondent(s): Brian Jackson, Ameriprise Financial Services.
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Elliott Finkel
Hearing Site: Los Angeles, CA
| | Expungement |
