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FINRA Awards for Ameriprise Financial Services.

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Displaying 511-520 out of 559 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0305005/07/2010Claimant(s): Shan Kumar
Claimant Lawyers(s): William A. Linton
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Courtney R. Reid
Arbitrator(s): Roy J. Moceri
Hearing Site: Seattle, WA
09-0178905/06/2010Claimant(s): Robert Palumbo
Claimant Lawyers(s): Robert Palumbo
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Robert M. Goldstein, Lori H. Carena, Joan Marie Chiusano
Hearing Site: New York, NY
Checkmark Icon$0
09-0480805/04/2010Claimant(s): Penni Morris, Walter Morris, Walter A Morris III and Penni Morris
Claimant Lawyers(s): Penni & Walter Morris
Respondent(s): Ameriprise Financial Services., Michael Hanke
Respondent Lawyers(s): Courtney R. Reid, Nancy Landy
Arbitrator(s): Marie G. Peterson
Hearing Site: Boca Raton, FL
Checkmark Icon$26,475
09-0187304/23/2010Claimant(s): Ronald Morenz
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Ronald Edward Hibbing
Hearing Site: Phoenix, AZ
Checkmark Icon$0
09-0063404/14/2010Claimant(s): Joan Sharpless, J&J Trust
Claimant Lawyers(s): Stephen D. Phillabaum
Respondent(s): Ameriprise Financial Services., Centaurus Financial.
Respondent Lawyers(s): Courtney R. Reid, Shannon L. McDougald
Arbitrator(s): Jerome O. Cohen, Richard Lawrence Hinton, Stephen E. DeForest
Hearing Site: Seattle, WA
Checkmark Icon$58,800
09-0518804/08/2010Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Jeffery Westerman
Respondent Lawyers(s): Jeffery Luke Westerman
Arbitrator(s): Robert P. Fogarty, Alex H. Keller, Dale A. Crawford
Hearing Site: Columbus, OH
09-0525804/08/2010Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): David Moore
Respondent Lawyers(s): David N. Moore
Arbitrator(s): W. Pat Conners, Thomas J. McAllister, Erwin John Dugasz
Hearing Site: Columbus, OH
08-0400803/26/2010Claimant(s): Darren Meyer
Claimant Lawyers(s): Peter A. Cantwell
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward Magarian
Arbitrator(s): S. Lee Terry, Devra Ann Perch, Bradford J. Lam
Hearing Site: Denver, CO
09-0583203/09/2010Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Shawn Menz
Respondent Lawyers(s): Shawn Menz
Arbitrator(s): Edward M. Olson
Hearing Site: Columbus, OH
09-0038802/19/2010Claimant(s): Helen Prasil, John J. & Helen R. Prasil Rev.Trust
Claimant Lawyers(s): Christopher T Davis
Respondent(s): Ameriprise Financial Services., John Janes, Kari Douglas, Patty Nash, Randall Ehleringer, Ehleringer, Douglas & Associates
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Emily F. Seesel, Joyce G. Gordon, Richard W. Thiele
Hearing Site: Minneapolis, MN
Checkmark IconStipulated Award and Expungement

559 Results

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