| 13-03054 | 12/30/2014 | Claimant(s): Wayne Lewis
Claimant Lawyers(s): Wayne R. Lewis
Respondent(s): Ameriprise Financial Services., Lawrence Van Ollefen
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Steven T. Stern, Louis P. Wagman, Kathleen Jones Spilker
Hearing Site: Philadelphia, PA
|  | $0 |
| 13-03203 | 12/29/2014 | Claimant(s): Patricia Dennis
Claimant Lawyers(s): Jason P. Ramos
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Edith N. Dinneen, Augusto V. Perrotta, Gary E. Marcus
Hearing Site: Tampa, FL
| | $0 |
| 13-00048 | 12/26/2014 | Claimant(s): Carolyn Eachus, Warren Eachus
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Jill Leeds-Rivera, Kathleen K. Murphy, Paul Ribner
Hearing Site: Philadelphia, PA
| | Expungement |
| 13-03364 | 12/22/2014 | Claimant(s): Richard Brooks
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Alexandra L. Dunaif, Arthur M. Handler, David J. Weisenfeld
Hearing Site: New York, NY
| | $0 |
| 12-03880 | 12/12/2014 | Claimant(s): Maryellen Lurie
Claimant Lawyers(s): David M. White
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Edward W. Morris
Hearing Site: New York, NY
| | Expungement |
| 13-01087 | 12/12/2014 | Claimant(s): Patricia McNamara, The Estate of Francis Leo McNamara
Claimant Lawyers(s): Michael Klein
Respondent(s): Ameriprise Financial Services., Justin Montandon
Respondent Lawyers(s): Edward Walton
Arbitrator(s): R. Lee Britton Jr., Jeff Kilgore, Malcolm Edwin Whittaker
Hearing Site: Houston, TX
| | $127,740 |
| 14-01459 | 12/08/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael Taaffe
Respondent(s): Horace Stubblefield
Respondent Lawyers(s): Horace (Gandy) Stubblefield
Arbitrator(s): Maryanne M. Esser
Hearing Site: Houston, TX
| | |
| 14-01146 | 11/26/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael Taaffe
Respondent(s): James Triguero
Respondent Lawyers(s): James Kevin Triguero
Arbitrator(s): William J. Petzel
Hearing Site: San Francisco, CA
| | |
| 14-01587 | 11/11/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Corey Levine
Respondent Lawyers(s): Corey Scott Levine
Arbitrator(s): Bert P. Krages
Hearing Site: Portland, OR
| | |
| 12-02126 | 11/05/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Roger O'Donnell
Respondent Lawyers(s): Roger J. O'Donnell
Arbitrator(s): Alan Stamm
Hearing Site: Los Angeles, CA
| | |
