| 15-01047 | 09/09/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Scott A. La Porta
Respondent(s): Henry Wasserman
Respondent Lawyers(s): Henry Edward Wasserman
Arbitrator(s): Steven R. Reininger
Hearing Site: Boca Raton, FL
| | |
| 13-03730 | 09/04/2015 | Claimant(s): Nizam Meah, Griffin Capital (Westmont) Investor 19,
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Ameriprise Financial Services., Justin Swope
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): William R. Jonson, Stephen James Cavanaugh, John Chelsea Allman
Hearing Site: Houston, TX
|  | Expungement |
| 15-01325 | 09/01/2015 | Claimant(s): Ameriprise Financial Services., Scott Miller
Claimant Lawyers(s): Danya W. Blair
Respondent(s): Jeremy Walker
Respondent Lawyers(s): Brian D. Esenwein
Arbitrator(s): Louis J. Weber, Robert L. Yeager, Darryl Lipinski
Hearing Site: Dallas, TX
| | |
| 14-02133 | 08/04/2015 | Claimant(s): Deanna Braun, Richard Braun
Claimant Lawyers(s): Jonathan E Neuman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Mark S. Foster, Larry R. Trussell, Michael D. Fitzgerald
Hearing Site: Omaha, NE
| | $43,999 |
| 15-00363 | 07/31/2015 | Claimant(s): Lesleigh Root
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | $31,757 |
| 14-01084 | 06/25/2015 | Claimant(s): Louise Blocker
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Raymond Nardo, Alfreida B. Kenny, John Michael Richardson
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 14-02496 | 06/23/2015 | Claimant(s): Cheri Jewison, Ameriprise Financial Services.
Claimant Lawyers(s): Susan E. Sheely
Respondent(s): Alan Horowitz
Respondent Lawyers(s): Alan Horowitz
Arbitrator(s): Tom L. Peterson, Evalyn Lipton Fishbein, Barbara-Ann Boehler
Hearing Site: Boston, MA
| | Expungement |
| 13-02854 | 06/15/2015 | Claimant(s): James Thomas, Laurel Thomas
Claimant Lawyers(s): Matthew H. Griffith
Respondent(s): Bruce Smith, Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Robert Steven Haught, David A. Laughlin, John R. Storm
Hearing Site: Oklahoma City, OK
| | $0 |
| 13-02796 | 06/11/2015 | Claimant(s): Kelina Normil
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Ameriprise Advisor Services., Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard J. Kaplan, Robert J. Buchner, Kimberlee Ann Fowler
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-01373 | 06/02/2015 | Claimant(s): Jeffrey and Julie Mullen
Claimant Lawyers(s): Lance C. McCardle
Respondent(s): Gregory Jacobson, Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Stephen L. Lister, S. Charles Tabak, Martin R. Cramer
Hearing Site: Newark, NJ
| | Expungement |
