| 15-02319 | 06/16/2016 | Claimant(s): Camille Gagliardi
Claimant Lawyers(s): Douglas A. Cho
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Kalusmeier
Arbitrator(s): Karimu F. Hill-Harvey
Hearing Site: Hartford, CT
| | |
| 14-03619 | 05/31/2016 | Claimant(s): William Essex
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Nina Vallion
Hearing Site: Portland, OR
|  | Expungement |
| 14-00929 | 05/17/2016 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Chadwick Hargis
Respondent Lawyers(s): Chadwick Lynn Hargis
Arbitrator(s): Mark R. Topper
Hearing Site: Orlando, FL
| | |
| 15-03235 | 05/06/2016 | Claimant(s): Eleanor Stintzcum
Claimant Lawyers(s): Eleanor L Stintzcum
Respondent(s): Ameriprise Financial Services., Louis Delaney III
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Baltimore, MD
| | Expungement |
| 16-00119 | 04/29/2016 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Stephen Vaughan
Respondent Lawyers(s): Stephen A. Vaughan
Arbitrator(s):
Hearing Site: Houston, TX
| | |
| 15-00286 | 04/12/2016 | Claimant(s): Alan Silverstein, Karen Silverstein
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard W. Cutler, James S. Hazard, Ronald F. Rosner
Hearing Site: New York, NY
| | $0 |
| 14-03361 | 04/01/2016 | Claimant(s): Jack Griffith
Claimant Lawyers(s): Amy Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Gerry A. Giurato
Arbitrator(s):
Hearing Site: Columbia, SC
| | |
| 13-03636 | 03/22/2016 | Claimant(s): Cliqusean Green
Claimant Lawyers(s): Erin E. Hanson
Respondent(s): Ameriprise Financial Services., American Express Financial Advisors
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Michael S. Matek, Donald W. McKenzie, Rita J. Jacyna Curley
Hearing Site: Chicago, IL
| | |
| 15-01898 | 03/18/2016 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Daniel Moniz
Respondent Lawyers(s): Daniel J. Moniz
Arbitrator(s): Frank Sanclemente
Hearing Site: Boston, MA
| | |
| 15-02760 | 03/17/2016 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Richard Ewalt
Respondent Lawyers(s): Richard Lee Ewalt
Arbitrator(s): James A. Hayes
Hearing Site: Baltimore, MD
| | |
