| 11-02089 | 02/26/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Lee Brown
Respondent Lawyers(s): Lee Kim Brown
Arbitrator(s): Robert S. McConnell, Lanny M. Leff, Richard Marc Weinroth
Hearing Site: Phoenix, AZ
| | |
| 11-04171 | 02/14/2013 | Claimant(s): Victoria Ross
Claimant Lawyers(s): Victoria W. Ross
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Jerome F. Crotty, Susan S. Hickel, Susanne J. Hollander
Hearing Site: Chicago, IL
| | |
| 12-02231 | 02/08/2013 | Claimant(s): Dina Nogueira, Ricardo Nogueira
Claimant Lawyers(s): Ricardo Nogueira
Respondent(s): Ameriprise Financial Services., Michael Gould
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Julian F. Santos
Hearing Site: Newark, NJ
|  | $213 |
| 11-00929 | 02/07/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Willard Phillips
Respondent Lawyers(s): Jeffrey L. Cox
Arbitrator(s): Arthur L. Sirkin, John Morris Hudson
Hearing Site: Jacksonville, FL
| | |
| 11-04632 | 02/05/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Rodger Thomas
Respondent Lawyers(s): Rodger E. Thomas
Arbitrator(s): Anthony Michael Sabino
Hearing Site: New York, NY
| | |
| 11-02299 | 01/31/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Kenneth Buccelli
Respondent Lawyers(s): Allen P. Whitehead
Arbitrator(s): Susanne J. Hollander
Hearing Site: Orlando, FL
| | |
| 11-00028 | 01/31/2013 | Claimant(s): Mary Barath
Claimant Lawyers(s): Alice Stewart
Respondent(s): Ameriprise Financial Services., Satish Singh, Timothy McLaughlin
Respondent Lawyers(s): Heather J. Melloh, Timothy M. McLaughlin
Arbitrator(s): Richard W. Dissen, Eileen B. Vernon, Daniel L. Bonder
Hearing Site: Cleveland, OH
| | Expungement |
| 11-01804 | 01/31/2013 | Claimant(s): Candace Parkin, Robert Rubens
Claimant Lawyers(s): Robert Rubens
Respondent(s): Gerry Kostuk, Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Ralph M. Goren
Hearing Site: Chicago, IL
| | Expungement |
| 11-03134 | 01/22/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Lloyd Church
Respondent Lawyers(s): David J. Hase
Arbitrator(s): John J. Balitis, Jay Lawrence Witkin, Stephanie P. Lebhar
Hearing Site: Phoenix, AZ
| | |
| 12-02566 | 01/20/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Matthew Buck
Respondent Lawyers(s): Matthew John Buck
Arbitrator(s): Gary L. Grolle
Hearing Site: Milwaukee, WI
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