| 21-01804 | 10/28/2022 | Claimant(s): Steven Brown
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Worden Capital Management LLC, Jamie Worden
Respondent Lawyers(s): Jaime Worden
Arbitrator(s): Stanley H. Michelstetter
Hearing Site: Rapid City, SD
|  | $68,263 |
| 20-02776 | 05/19/2021 | Claimant(s): Gordon Wollman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Robert Rudnicki
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Rapid City, SD
| | |
| 20-03174 | 03/15/2021 | Claimant(s): David Donat
Claimant Lawyers(s): Stephan Louviere
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Peter H. Daly
Hearing Site: Rapid City, SD
| | |
| 16-03605 | 08/24/2018 | Claimant(s): Kathy Wookey, Thomas Wookey
Claimant Lawyers(s): Brett D. Zinner
Respondent(s): John Lowry, Robert Murray, Spartan Capital Securities, Llc
Respondent Lawyers(s): Liam O'Brien
Arbitrator(s): Paul H. Lamboley, Danielle L. Anderson, Dee Maresso-Newell
Hearing Site: Rapid City, SD
| | $330,425 |
| 16-03365 | 03/01/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Jeremiah Charlson
Respondent Lawyers(s): Jeremiah Jens Charlson
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Rapid City, SD
| | |
| 15-02692 | 04/08/2016 | Claimant(s): Lary Bocquin
Claimant Lawyers(s): Lary J. Bocquin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory Scanlon
Arbitrator(s): Terry F. Peppard
Hearing Site: Rapid City, SD
| | $425 |
| 14-01145 | 11/13/2014 | Claimant(s): David Hillard
Claimant Lawyers(s): Rodney J. Heggy
Respondent(s): John Hilliard, Sue Hauff
Respondent Lawyers(s): John E. Hilliard, Sue Hauff
Arbitrator(s): Jerry D. Mc Cormack, Arthur Richard Tow, Danielle L. Anderson
Hearing Site: Rapid City, SD
| | Expungement |
| 13-03106 | 10/23/2014 | Claimant(s): Rose M. Dodge
Claimant Lawyers(s): Rose M. Dodge
Respondent(s): Aron Martz
Respondent Lawyers(s): John Rock
Arbitrator(s): Terry F. Peppard
Hearing Site: Rapid City, SD
| | $0 |
| 10-03402 | 06/02/2014 | Claimant(s): Robert Schulte, Midwest Sales Inc.
Claimant Lawyers(s): Vincent J. Imbesi
Respondent(s): Morgan Wilshire Securities.
Respondent Lawyers(s): Robert I Rabinowitz
Arbitrator(s): P. J. Boylan
Hearing Site: Rapid City, SD
| | $0 |
| 09-04732 | 03/08/2011 | Claimant(s): Damon Reel
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Phyllis Karasov, Julie A. Hennen, Frederick Ramos
Hearing Site: Rapid City, SD
| | Expungement |
