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FINRA Awards for Jack D. Elmquist

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Displaying 11-15 out of 15 results
Case Number Award Date Case Summary Customer Case? Amount Granted
13-0026905/19/2014Claimant(s): James D. Hera Revocable Trust
Claimant Lawyers(s): Michael MacDonald
Respondent(s): Michael Kinney
Respondent Lawyers(s): Michael Thomas Kinney
Arbitrator(s): Richard A. Mosman, Jack D. Elmquist, Brett W. Olander
Hearing Site: Minneapolis, MN
Checkmark Icon$75,000
12-0290101/10/2014Claimant(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
Checkmark IconExpungement
08-0260103/05/2010Claimant(s): Piper Jaffray & Co.
Claimant Lawyers(s): Terrence J. Fleming
Respondent(s): Christopher Peterson, Cole Ryba, David Holden, Stifel, Nicolaus & Co.., John Kuny, John Pinto, Lindsay Paine, Michael Loop, Michael Pellicci, Neil Koepcke, Stephen Tufo, Zigmund Peret
Respondent Lawyers(s): Richard Kuhlman
Arbitrator(s): Judith A. Rogosheske, Jack D. Elmquist, Edward C. Oliver
Hearing Site: Minneapolis, MN
08-0477211/17/2009Claimant(s): Herold Family Living Trust
Claimant Lawyers(s): Cletus M. Herold
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Jack D. Elmquist, James P. O'Donnell, Alan B. Fender
Hearing Site: Des Moines, IA
Checkmark Icon$47,691
06-0391510/12/2007Claimant(s): Richard Nadler
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Wells Fargo Investments, Wells Fargo Brokerage Services
Respondent Lawyers(s): Lawrence T. Hofmann
Arbitrator(s): Jack D. Elmquist, Jeffrey W. Jacobs, Bradley A. Erickson
Hearing Site: Minneapolis, MN
Checkmark Icon$0

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