| 18-02898 | 01/24/2019 | Claimant(s): Jerry LaMaack
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): Feltl & Company
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Joan L. Volz
Hearing Site: Minneapolis, MN
|  | $45,572 |
| 14-01955 | 07/17/2015 | Claimant(s): Thomas Ottman
Claimant Lawyers(s): Jonathan M. Harris
Respondent(s): John Feltl, Mary Feltl, Feltl & Company
Respondent Lawyers(s): Matthew T. Boos, Thomas F. Steichen
Arbitrator(s): Joan L. Volz, John W. MacKimm, Frank Abramson
Hearing Site: Minneapolis, MN
| | |
| 12-02901 | 01/10/2014 | Claimant(s): Louisa Alben IRA, Louisa Alben Living Trust
Claimant Lawyers(s): Gary Menzer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Brad Jacobs
Arbitrator(s): Jack D. Elmquist, Peter N. Thompson, Joan L. Volz
Hearing Site: Minneapolis, MN
| | Expungement |
| 11-03215 | 07/26/2013 | Claimant(s): Citizens Community Federal
Claimant Lawyers(s): John J Schirger
Respondent(s): Tamara McGovern, Shay Financial Services.
Respondent Lawyers(s): Travis J. Quick
Arbitrator(s): Terrence J. Fleming, Joan L. Volz, Frank Abramson
Hearing Site: Minneapolis, MN
| | Stipulated Award and Expungement |
| 12-01157 | 03/15/2013 | Claimant(s): David Forster, Sandra Forster
Claimant Lawyers(s): Christopher P. Parrington
Respondent(s): David Theis
Respondent Lawyers(s): David Alan Theis
Arbitrator(s): Joan L. Volz
Hearing Site: Minneapolis, MN
| | $290,000 |
| 11-03436 | 01/28/2013 | Claimant(s): Kristin Farrell, Terence Farrell
Claimant Lawyers(s): Patrick S. Williams
Respondent(s): David Kinnear, UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn Dietrich Perreault
Arbitrator(s): Lawrence J. Welte, Joan L. Volz, Debra Jean Griebel
Hearing Site: Minneapolis, MN
| | Expungement |
| 12-01238 | 12/26/2012 | Claimant(s): Donald Larson
Claimant Lawyers(s): Christopher Parrington
Respondent(s): Craig Meuer, Grant Lindaman, Financial Advisers Of America
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): James A. Lundberg, F. Chet Taylor, Joan L. Volz
Hearing Site: Minneapolis, MN
| | Stipulated Award |
| 11-00703 | 04/30/2012 | Claimant(s): The Estate of Beverly Erickson
Claimant Lawyers(s): Stephen Patrick Doyle
Respondent(s): Oppenheimer & Co.., Robert Long
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Joan L. Volz, Debra Jean Griebel, John D. Campion
Hearing Site: Minneapolis, MN
| | $100,000 |
| 10-02338 | 09/02/2011 | Claimant(s): Stephen Rowland
Claimant Lawyers(s): Christopher W. Madel
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bryan I. Reyhani
Arbitrator(s): Edward C. Oliver, Joan L. Volz, JD Haas
Hearing Site: Minneapolis, MN
| | $50,000 |
| 09-03299 | 06/29/2011 | Claimant(s): Joel LeVahn, Jolene LeVahn
Claimant Lawyers(s): Lisa M. Lamm
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Peter Eckerline
Respondent Lawyers(s): Jaime H. Scivley
Arbitrator(s): Roger D. Johnson, Joan L. Volz, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $0 |
