| 13-01527 | 10/28/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Richard Flecca
Respondent Lawyers(s): Richard Warren Flecca
Arbitrator(s): Daniel P. Lund
Hearing Site: Orlando, FL
| | |
| 13-01175 | 10/22/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C Fischer
Respondent(s): Richard Sexton
Respondent Lawyers(s): Richard Carl Sexton
Arbitrator(s): Samuel H. Chorches
Hearing Site: Manchester, NH
| | |
| 12-02507 | 10/21/2013 | Claimant(s): Robert Cox
Claimant Lawyers(s): Diane A. Nygaard
Respondent(s): Ameriprise Financial Services., Mitchell Black
Respondent Lawyers(s): Roger N. Walter
Arbitrator(s): Murray S. Levin, Walter N. Vernon, Henry R. Cox
Hearing Site: Kansas City, MO
|  | $776,424 |
| 12-02485 | 10/14/2013 | Claimant(s): Lantaya West Weaver
Claimant Lawyers(s): David Akintimoye
Respondent(s): Jermaine Jamison, Ameriprise Financial Services.
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
| | $0 |
| 13-00803 | 10/10/2013 | Claimant(s): Cynthia Lowe IRA, W.E. Lowe II IRA, W.E. Lowe II & William P Lowe T.I.C
Claimant Lawyers(s): T. John Kirk
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Robert T. Allen
Hearing Site: Columbia, SC
| | $240 |
| 12-00812 | 09/30/2013 | Claimant(s): Lois Schipper, Richard Schipper, The Lois Schipper Trust, The Richard W. Schipper, Sr. Trust
Claimant Lawyers(s): Sandra J Budnick
Respondent(s): Fouad Zeaiter, Ameriprise Financial Services., Commonwealth Financial Network
Respondent Lawyers(s): Edward Walton, Francis R. Ortiz
Arbitrator(s): Keith J. Koerber, William M. Azkoul, Marsha-laine Ferrer Dungog
Hearing Site: Detroit, MI
| | $26,000 |
| 12-01843 | 09/25/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Thomas Cooper
Respondent Lawyers(s): Thomas Stephen Cooper
Arbitrator(s): Randall S. Strause
Hearing Site: Nashville, TN
| | |
| 11-04606 | 09/24/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): James Pilla
Respondent Lawyers(s): Eric R. Breslin
Arbitrator(s): Gregory J. Getz
Hearing Site: New York, NY
| | |
| 12-02497 | 09/19/2013 | Claimant(s): James Halusky
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Baltimore, MD
| | Expungement |
| 13-00015 | 09/10/2013 | Claimant(s): Carl Haas, Nancy Haas
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): John James McGovern
Hearing Site: Wilmington, DE
| | $2,830 |
