| 19-03741 | 05/27/2022 | Claimant(s): Kraig Ketter
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): David Khezri, Garrett Gaylor
Respondent Lawyers(s): David Khezri, Garrett Randell Gaylor
Arbitrator(s): Jack D. Elmquist, Kevin D. Hofman, Kathy A. Tatone
Hearing Site: Minneapolis, MN
|  | $103,000 |
| 16-00450 | 08/31/2017 | Claimant(s): Prospera Financial Services.
Claimant Lawyers(s): Niel Prosser
Respondent(s): Alan Luttman
Respondent Lawyers(s): Donald R. McNeil
Arbitrator(s): David Evans Rosedahl, Kevin D. Hofman, Frederick Ramos
Hearing Site: Minneapolis, MN
| | |
| 15-02805 | 03/21/2017 | Claimant(s): Melissa Nordick
Claimant Lawyers(s): Michael Hill
Respondent(s): Emergent Financial Group.
Respondent Lawyers(s): Randy J. Sparling
Arbitrator(s): Kevin D. Hofman, Gregory John Peterson, Michael Leary
Hearing Site: Minneapolis, MN
| | $0 |
| 14-00383 | 09/22/2015 | Claimant(s): Donna Cramer, John Cramer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Terry F. Peppard, Kevin D. Hofman, Mark S. Gleason
Hearing Site: Minneapolis, MN
| | $58,563 |
| 14-01718 | 08/21/2015 | Claimant(s): George Gartner
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Rockwell Global Capital LLC
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Kevin D. Hofman
Hearing Site: Minneapolis, MN
| | Dismissed by Rule 12206 |
| 14-01009 | 08/07/2015 | Claimant(s): Joan Christenson, Joan M. Christenson Revocable Trust
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Paul Schmidt, SII Investments.
Respondent Lawyers(s): John Rock
Arbitrator(s): Kevin D. Hofman, David F. Schmitz, Wayne A. Robinson
Hearing Site: Minneapolis, MN
| | $72,048 |
| 13-03278 | 11/13/2014 | Claimant(s): Patrick Kelly
Claimant Lawyers(s): James C. MacGillis
Respondent(s): Sagepoint Financial., American International Group., SAI Deferred Compensation Holdings.
Respondent Lawyers(s): Corporate Office, Gregory M. Curley
Arbitrator(s): Kevin D. Hofman, Jo Anne F. Lewellen, Kathleen Sweeney Tillotson
Hearing Site: Minneapolis, MN
| | |
| 14-00253 | 10/09/2014 | Claimant(s): Philip Schouweiler
Claimant Lawyers(s): Ken D. Schueler
Respondent(s): N.I.S. Financial Services.
Respondent Lawyers(s): Larry W. Joye
Arbitrator(s): Kevin D. Hofman
Hearing Site: Minneapolis, MN
| | |
| 13-02486 | 08/22/2014 | Claimant(s): Judith Frank, Lenore Vogt, Alfred A. Vogt Trust U/T/A Dated Feb 15
Claimant Lawyers(s): Jonathan M. Harris
Respondent(s): Darrel Amiot, Scott Syde
Respondent Lawyers(s): Darrell R. Amiot, Michael MacDonald
Arbitrator(s): Jack D. Elmquist, Kevin D. Hofman, Frank Abramson
Hearing Site: Minneapolis, MN
| | $0 |
| 13-02360 | 05/13/2014 | Claimant(s): Carroll Martini, Mildred Martini, Carroll Martini IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Proequities.
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Douglas J. Nesbit, Kevin D. Hofman, Susan M. Sanger
Hearing Site: Minneapolis, MN
| | $0 |
