| 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 |
| 20-00161 | 11/09/2021 | Claimant(s): Carol Avery, Robert Avery
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Neils P. Murphy
Arbitrator(s): Sherry R. Wetsch, Jude A Smith, Mark Ritchie
Hearing Site: Houston, TX
| | $51,375 |
| 20-03431 | 11/05/2021 | Claimant(s): Huey Luu
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Francis Vincent Dane
Hearing Site: Seattle, WA
| | |
| 19-03340 | 11/04/2021 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Ameriprise Financial Services, Michael Peterson
Respondent Lawyers(s): Danya W. Blair, James E. Heavey
Arbitrator(s): James A. Sigler, Paul E. Dahlman, Richard Mathew Greenspan
Hearing Site: Las Vegas, NV
| | |
| 20-03296 | 10/22/2021 | Claimant(s): Andrew Chisholm
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Ameriprise Financial Services, Michael Cooper
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Camille S. Cooper, Ellyn S. Roth, Charlane Brown
Hearing Site: New York, NY
| | $0 |
| 19-02202 | 09/13/2021 | Claimant(s): Scott Ratajczak
Claimant Lawyers(s): Christopher P. Milazzo
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Catherine Stewart, Robert E. Anderson, John Herbert Grefe
Hearing Site: Jersey City, NJ
| | |
| 20-02815 | 07/20/2021 | Claimant(s): James Waninger
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): George G. Kurschner
Hearing Site: Louisville, KY
| | |
| 20-01547 | 07/20/2021 | Claimant(s): Ameriprise Financial Services, American Enterprise Investment Services
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Mariam Silverman, M Silverman Living Trust dated 12/5/18
Respondent Lawyers(s): Jeffrey Kaplan
Arbitrator(s): David P. Slater, Richard J. Kaplan, Alessandra Piras Torrens
Hearing Site: Boca Raton, FL
| | $0 |
| 20-02916 | 07/12/2021 | Claimant(s): Thomas Sharp
Claimant Lawyers(s): Zachary Morse
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | |
| 20-02681 | 07/07/2021 | Claimant(s): Russell McLean
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): David William Hickman
Hearing Site: Portland, OR
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