| 11-02661 | 07/13/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): John Ekman
Respondent Lawyers(s): Robert Zeglovitch
Arbitrator(s): Andrew R. Dick
Hearing Site: Minneapolis, MN
| | |
| 10-04292 | 07/05/2012 | Claimant(s): Jonathan Underkofler
Claimant Lawyers(s): Peter A. Cantwell
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Cary L. Weissman, Charles R. Berry, Donald Dreyfus
Hearing Site: Phoenix, AZ
| | |
| 11-00748 | 07/05/2012 | Claimant(s): Theresa Falzarano
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Carol Corbett, John James McGovern, Edward Charles Mengel
Hearing Site: Philadelphia, PA
|  | $0 |
| 11-03533 | 06/19/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Stephen Wittels
Respondent Lawyers(s): Stephen Wittels
Arbitrator(s): Donald S. Simons
Hearing Site: Los Angeles, CA
| | |
| 10-04544 | 06/14/2012 | Claimant(s): Lewis Shupe
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julita Kargol
Arbitrator(s): Mark E. Hollern, Demetrio S. Timban, John E. Felch
Hearing Site: Philadelphia, PA
| | Expungement |
| 11-01399 | 05/11/2012 | Claimant(s): Duane Nack
Claimant Lawyers(s): Duane Arlen Nack
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Kristina L. Carlson
Arbitrator(s): Thomas C. McNally, Nancy Hutt, Daniel J. Lind
Hearing Site: San Francisco, CA
| | |
| 10-05634 | 05/07/2012 | Claimant(s): Robert Barry, Robert E. Barry IRA
Claimant Lawyers(s): Robert E. Barry
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Mark L. Kowalsky, Patrick R. Sughroue, William P. Thorpe
Hearing Site: Detroit, MI
| | $0 |
| 11-01928 | 04/24/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Peter Oristian
Respondent Lawyers(s): Peter J. Oristian
Arbitrator(s): William H. Malloy
Hearing Site: Baltimore, MD
| | |
| 11-03467 | 04/17/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): James Yarbrough
Respondent Lawyers(s): James Yarbrough
Arbitrator(s): Jack W. Windt
Hearing Site: Tampa, FL
| | |
| 11-00984 | 04/17/2012 | Claimant(s): Elaine Stone, Lawrence Stone
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): William J. Bender, Kim D. Stephens, Dante Lee Montoya
Hearing Site: Seattle, WA
| | $112,181 |
