| 21-00247 | 06/22/2023 | Claimant(s): Rance Wallace
Claimant Lawyers(s): Michael Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): John James Rubin
Hearing Site: Atlanta, GA
|  | Expungement |
| 20-03955 | 05/17/2023 | Claimant(s): Isabelita Wijangco, Isabelita Wijangco IRA, Isabelita Wijangco Revocable Trust
Claimant Lawyers(s): Michael A. Valenti
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Richard W. Dissen
Hearing Site: Louisville, KY
| | Expungement |
| 21-00957 | 02/14/2023 | Claimant(s): David Barnett, Sara Barnett, DSB Financial Investments, David Barnett OBO his IRA, Sara Barnett OBO her IRA
Claimant Lawyers(s): Matthew Thibaut
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Martin M. Van Luven, Brian Campbell, Laura Susann Ukoli
Hearing Site: Tampa, FL
| | Expungement |
| 20-03126 | 11/18/2021 | Claimant(s): James Freund, IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Leonard Arthur Nelson, Sally J. Wiggins, Maxwell Charles Livingston
Hearing Site: Milwaukee, WI
| | $0 |
| 21-01282 | 11/15/2021 | Claimant(s): Kathleen Marfiz
Claimant Lawyers(s): Kathleen M. Marfiz
Respondent(s): Isaac Wales
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Minneapolis, MN
| | $300 |
| 17-00078 | 02/08/2019 | Claimant(s): Sam Freeland
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Gregory D. Hoffmann, A. Ronald Tonks, Irwin Venick
Hearing Site: Nashville, TN
| | $15,000 |
| 18-00299 | 06/27/2018 | Claimant(s): Ronnie Jandt
Claimant Lawyers(s): Ronnie Jandt
Respondent(s): Scottrade Inc., Rodger Riney
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Julius Z. Frager
Hearing Site: Louisville, KY
| | $5,175 |
| 17-02481 | 06/13/2018 | Claimant(s): Patrick Matlock
Claimant Lawyers(s): Robert W. Pearce
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
| | |
| 16-03390 | 03/26/2018 | Claimant(s): Kathryn Childress Irrevocable Trust
Claimant Lawyers(s): Shari P. Pulman
Respondent(s): Scottrade Inc., Clyde Jones
Respondent Lawyers(s): Clyde Mick Jones, Niels P. Murphy
Arbitrator(s): Mary Esther Escobedo, James Wallace Boeckman, Jude A Smith
Hearing Site: Houston, TX
| | $905,000 |
| 16-01516 | 12/22/2016 | Claimant(s): Dominic Camerlengo
Claimant Lawyers(s): Dominic V. Camerlengo
Respondent(s): Adam Cohen, Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
| | $0 |
