| 19-03484 | 11/09/2020 | Claimant(s): Atul Bhatia
Claimant Lawyers(s): Atul Kumar Bhatia
Respondent(s): EFG Capital International
Respondent Lawyers(s): Jonathan S. Robbins
Arbitrator(s): James A. Lundberg, Peter N. Thompson, Frederick Ramos
Hearing Site: Minneapolis, MN
| | |
| 14-02889 | 04/06/2016 | Claimant(s): Rodney Hell
Claimant Lawyers(s): Christian Sande
Respondent(s): Alan Luttman, Joni Spaeth, Michael Braddy, Roger Hubley, NetWorth Asset Management., Prospera Financial Services.
Respondent Lawyers(s): Christopher B. Trowbridge, Elizabeth P. Ridley, Jonathan M. Harris
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
|  | Expungement |
| 14-01821 | 07/01/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Mark Primrose
Respondent Lawyers(s): Mark Primrose
Arbitrator(s): James A. Lundberg
Hearing Site: Des Moines, IA
| | |
| 14-00952 | 04/02/2015 | Claimant(s): Anita Dial, Anita Dial IRA
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Debra L. Weiss
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
| | $0 |
| 12-01302 | 07/25/2014 | Claimant(s): Jack Dickinson, Dickinson Eagle Ridge, Dickinson East 21st Street
Claimant Lawyers(s): Alan L. Frank
Respondent(s): Bryan Mick, David Theis, Michael Dougherty
Respondent Lawyers(s): David Alan Theis, Jason S. Feinstein, Steven J. Rotunno
Arbitrator(s): James A. Lundberg, Paul J. Hennen, Phyllis Karasov
Hearing Site: Minneapolis, MN
| | Expungement |
| 12-02792 | 06/10/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Gregory Paine
Respondent Lawyers(s): Jonathan M. Harris
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
| | |
| 11-01646 | 01/30/2013 | Claimant(s): Abby Vander Linden, Christopher Vander Linden, Donna Vander Linden, Leon Linden, Todd Linder Linden, Tricia Vander Linden
Claimant Lawyers(s): Fred Coats
Respondent(s): Billy Markve
Respondent Lawyers(s): Rodney K. Vincent
Arbitrator(s): James A. Lundberg, Lawrence R. Commers
Hearing Site: Minneapolis, MN
| | Expungement |
| 12-01238 | 12/26/2012 | Claimant(s): Donald Larson
Claimant Lawyers(s): Christopher Parrington
Respondent(s): Craig Meuer, Grant Lindaman, Financial Advisers Of America
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): James A. Lundberg, F. Chet Taylor, Joan L. Volz
Hearing Site: Minneapolis, MN
| | Stipulated Award |
| 12-00200 | 08/16/2012 | Claimant(s): Investment Centers of America.
Claimant Lawyers(s): Scott A. Chernich
Respondent(s): Monica Liska
Respondent Lawyers(s): Monica Marie Liska
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
| | |
| 11-02249 | 05/16/2012 | Claimant(s): Susan Wallace
Claimant Lawyers(s): Ronald William Kepford
Respondent(s): Broker Dealer Financial Services Corp.
Respondent Lawyers(s): David W. Dunn
Arbitrator(s): James A. Lundberg
Hearing Site: Des Moines, IA
| | $96,868 |
