| 16-02347 | 06/22/2017 | Claimant(s): Jane An
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | |
| 16-01613 | 06/22/2017 | Claimant(s): Jan Larson, Tab Larson, Estate of Kari Lyn Larson
Claimant Lawyers(s): James B. Luers
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Steven Meyrich, Marilyn R. Lewis, John R. Loss
Hearing Site: Omaha, NE
|  | $440,158 |
| 15-01270 | 06/20/2017 | Claimant(s): Sally Boyle
Claimant Lawyers(s): Sally J. Boyle
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Sharon L. Monroe, Catherine Stewart, John Francis Markuns
Hearing Site: Manchester, NH
| | |
| 16-01703 | 05/23/2017 | Claimant(s): Camille Burns, Kevin Burns
Claimant Lawyers(s): Ken Abele
Respondent(s): Wells Fargo Advisors, Ameriprise Financial Services., Steven Levin
Respondent Lawyers(s): Demian J. Betz, Edward Walton
Arbitrator(s): John Richard Lynch
Hearing Site: Miami, FL
| | Expungement |
| 15-01050 | 05/22/2017 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Scott A. La Porta
Respondent(s): Michael Moats
Respondent Lawyers(s): Michael Glenn Moats
Arbitrator(s): Louis M. Parker
Hearing Site: Phoenix, AZ
| | |
| 16-00036 | 05/17/2017 | Claimant(s): Richard Patterson, Richard Patterson Rev Liv Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Ron Pekoe, Mark R. Topper, Stuart K. Furman
Hearing Site: Orlando, FL
| | Expungement |
| 16-02107 | 05/05/2017 | Claimant(s): Velma Lockley
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 16-01211 | 05/02/2017 | Claimant(s): Sid Ironson
Claimant Lawyers(s): Sid Ironson
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Dale S. Cronnell, Sean Michael Peoples, Sean Alan D'Amico
Hearing Site: Hartford, CT
| | |
| 16-00348 | 04/19/2017 | Claimant(s): Steven Zap Entertainment 401(k) Profit S
Claimant Lawyers(s): Cristina Hernandez
Respondent(s): Alec Pedersen, Eric Smutko, Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-00742 | 03/30/2017 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Gary Oliphant
Respondent Lawyers(s): Gary Walter Oliphant
Arbitrator(s): Richard J. Kaplan
Hearing Site: Boca Raton, FL
| | |
