| 09-06592 | 12/09/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Thomas Flaherty
Respondent Lawyers(s): Matthew LeFande
Arbitrator(s): Michael Wolf, Kermit C. Zieg, Richard Charles Hotvedt
Hearing Site: Washington, DC
| | |
| 11-01918 | 12/02/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): James Pihaly
Respondent Lawyers(s): James Richard Pihaly
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
| | |
| 10-03001 | 11/30/2011 | Claimant(s): Hugh Mays, Jill Mays, The Mays Family Trust
Claimant Lawyers(s): Arthur S. Leider, Floyd R. Brown
Respondent(s): Ameriprise Financial Services., Orin Green, Richard Fogg
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Michael F. Brown, Lawrence Alexander Huerta, Jon C. Milliken
Hearing Site: San Diego, CA
|  | $0 |
| 09-05754 | 11/22/2011 | Claimant(s): Mary Brown, Paul Allgyer
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Larry E. Mobley
Arbitrator(s): Jerry C. Prestridge, Nathan Levy, William Edward Buck
Hearing Site: Houston, TX
| | Expungement |
| 10-04374 | 11/22/2011 | Claimant(s): Grisel Wiley, Jerry Wiley, Grisel Wiley Irrevocable Life Ins. Trust, Jerry Wiley Irrevocable Life Ins Trust, The Grisel Wiley Living Trust
Claimant Lawyers(s): John J. Miller
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Sherry L. Robinson, John R. Loss, Michael J. Hunter
Hearing Site: Kansas City, MO
| | $0 |
| 11-02474 | 11/09/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Terrence Devlin
Respondent Lawyers(s): Terrence Timothy Devlin
Arbitrator(s): Richard A. Knudsen
Hearing Site: Omaha, NE
| | |
| 10-01154 | 11/03/2011 | Claimant(s): Ernest Perea, Rita Perea
Claimant Lawyers(s): Thomas S. Reavely
Respondent(s): Ameriprise Financial Services., Michael Franke, Ryan Surber
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Herbert S. Bratt, Andrew R. Dick, Daniel E. Wright
Hearing Site: Des Moines, IA
| | Expungement |
| 10-03672 | 11/03/2011 | Claimant(s): Dale Scholl
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Gregory G. Wille, James P. O'Donnell, Richard H. Porter
Hearing Site: Milwaukee, WI
| | Expungement |
| 11-01919 | 10/28/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Mark Nickels
Respondent Lawyers(s): Mark McMurray Nickels
Arbitrator(s): Richard B. Lewis
Hearing Site: Nashville, TN
| | |
| 11-01650 | 10/21/2011 | Claimant(s): George Shull
Claimant Lawyers(s): George E. Shull
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Cheryl R. Kershner
Hearing Site: San Francisco, CA
| | $0 |
