20-02507 | 10/30/2024 | Claimant(s): Cinda Collins Claimant Lawyers(s): Vincent D. Louwagie Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Steven M. Phillips Arbitrator(s): Kevin D. Hofman, Jo Anne F. Lewellen, Nathaniel Cade Hearing Site: Minneapolis, MN
| | |
19-01305 | 10/21/2020 | Claimant(s): Margaret McDonnell, Michael McDonnell, Madeline R. Stierwalt Claimant Lawyers(s): Richard B. Fosher Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc Respondent Lawyers(s): Vincent D. Louwagie Arbitrator(s): Ray J. Grzebielski, Jonathan B. Gilbert, Edward Louis Koven Hearing Site: Chicago, IL
| | Dismissed by Rule 12206/12504 |
15-00297 | 07/14/2016 | Claimant(s): Leah Hancock, LH Publishing LLC Claimant Lawyers(s): Daniel Gwertzman Respondent(s): Berthel, Fisher & Company Financial Serv Respondent Lawyers(s): Vincent D. Louwagie Arbitrator(s): I. Douglas Dunipace, Howard W. Shannon, Jay Lawrence Witkin Hearing Site: Phoenix, AZ
| | $125,300 |
10-03899 | 01/17/2013 | Claimant(s): Jerry Jochims, Linda Govern, Rick Govern, Winton Boyd Claimant Lawyers(s): Gail E. Boliver Respondent(s): Thomas Berthel, Berthel, Fisher & Co. Financial Services Respondent Lawyers(s): Vincent D. Louwagie Arbitrator(s): Roger D. Johnson, Stephen C. Esposito, James H. Colburn Hearing Site: Des Moines, IA
| | $0 |
10-02369 | 06/24/2011 | Claimant(s): Dennis Soderstrum Claimant Lawyers(s): Brenton D. Soderstrum Respondent(s): Ronald Helland, Berthel, Fisher & Company Respondent Lawyers(s): Vincent D. Louwagie Arbitrator(s): P. J. Boylan, Douglas A. Spier, Mark E. Schantz Hearing Site: Des Moines, IA
| | $20,000 |