| 16-02837 | 08/25/2017 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Charles Davis
Respondent Lawyers(s): Charles Whitman Davis
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | |
| 17-00478 | 08/23/2017 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Anthony Marino
Respondent Lawyers(s): Anthony Joseph Marino
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | |
| 17-00864 | 08/17/2017 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Timothy Bryant
Respondent Lawyers(s): Timothy Clark Bryant
Arbitrator(s): Mimi B. Osiason
Hearing Site: Tampa, FL
| | |
| 16-00783 | 07/31/2017 | Claimant(s): Joseph Devaney, Mary Devaney
Claimant Lawyers(s): Adrian Mendoza
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
|  | Expungement |
| 16-03720 | 07/25/2017 | Claimant(s): Nihaal Rao
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
| | |
| 15-02046 | 07/21/2017 | Claimant(s): Harold Garner, Shirley Garner
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Ameriprise Financial Services., Michael Sommerfield
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Douglas Earl McLaren, Christopher M. McMurray, Eric Erdheim
Hearing Site: Baltimore, MD
| | Expungement |
| 16-03459 | 07/20/2017 | Claimant(s): Carl Pritchett
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley, Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier, Kimberly J. Gustafson
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
| | |
| 16-01824 | 07/11/2017 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Robert Perconte
Respondent Lawyers(s): Robert A. Perconte
Arbitrator(s): Julian F. Santos
Hearing Site: New York, NY
| | |
| 15-03209 | 06/30/2017 | Claimant(s): Vinu Patel
Claimant Lawyers(s): Philip D. Sever
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Ed Walton
Arbitrator(s):
Hearing Site: Cincinnati, OH
| | Expungement |
| 16-01261 | 06/27/2017 | Claimant(s): Jan Tullis, Scott Tullis
Claimant Lawyers(s): Joshua L. Ross
Respondent(s): Andrew Hall, Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Rick D. Hampton, Stephany Adriene Watson, Paul R. Meyer
Hearing Site: Portland, OR
| | $191,772 |
