21-00957 | 02/14/2023 | Claimant(s): David Barnett, Sara Barnett, DSB Financial Investments, David Barnett OBO his IRA, Sara Barnett OBO her IRA Claimant Lawyers(s): Matthew Thibaut Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Niels P. Murphy Arbitrator(s): Martin M. Van Luven, Brian Campbell, Laura Susann Ukoli Hearing Site: Tampa, FL
| | Expungement |
22-01010 | 12/21/2022 | Claimant(s): Harry Armon Claimant Lawyers(s): Robert L. Herskovits Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Sandra J. Mullings Hearing Site: New York, NY
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22-00657 | 11/17/2022 | Claimant(s): Brent Ure Claimant Lawyers(s): James P Galvin Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Louis M. Parker, Ann H. Nevers, Nancy Lynn Boyd Hearing Site: Las Vegas, NV
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22-00256 | 10/28/2022 | Claimant(s): Douglas Everett Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Financial Services., Voya Financial Advisors. Respondent Lawyers(s): Christina Vourakis, Howard M. Klausmeier Arbitrator(s): Katherine Hendricks Hearing Site: Portland, OR
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22-00502 | 10/24/2022 | Claimant(s): Carman Hicks Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Richard James Igou, Charles Robert Moore, S. M. Kernodle-Hodges Hearing Site: Raleigh, NC
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22-00516 | 10/17/2022 | Claimant(s): David Thompson Claimant Lawyers(s): James P. Galvin Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): John P. Cullem, Stuart Sinai, Philip L. Manczak Hearing Site: Tampa, FL
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22-00244 | 08/31/2022 | Claimant(s): Anthony Thurlow Claimant Lawyers(s): Zachary Morse Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Randy R. Maher Hearing Site: Las Vegas, NV
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21-00591 | 08/26/2022 | Claimant(s): Robert Paulen IRA Claimant Lawyers(s): Michael Hill Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Lawton R. Graves Arbitrator(s): Nancy J. Cliff Hearing Site: Boca Raton, FL
| | Expungement |
21-03116 | 08/19/2022 | Claimant(s): Brian Nikulski Claimant Lawyers(s): Michael Bessette Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Tracy L. Allen Hearing Site: Des Moines, IA
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21-00002 | 08/18/2022 | Claimant(s): Michael Gutt Claimant Lawyers(s): John M. O'Toole Respondent(s): Ameriprise Financial Services., Steven Sterchele Respondent Lawyers(s): Sydney H. Crowder Arbitrator(s): Ray J. Grzebielski, Howard T. Goffen, Lisa M. Krimen Hearing Site: Chicago, IL
| | Expungement |