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FINRA Awards for James A. Lundberg

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Displaying 11-20 out of 20 results
Case Number Award Date Case Summary Customer Case? Amount Granted
11-0286112/22/2011Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Peter Ryan
Respondent Lawyers(s): Peter Remington Ryan
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
11-0136709/27/2011Claimant(s): Divine Swine Catering.
Claimant Lawyers(s): Dale Vaillancourt
Respondent(s): Donald Rosen, Waddell and Reed
Respondent Lawyers(s): Carrie Bechtold
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
Checkmark Icon$213
10-0230805/26/2011Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Julie H. Firestone
Respondent(s): Brett Bauer
Respondent Lawyers(s): Brett Bauer
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
08-0446201/20/2011Claimant(s): Alphonse Matt, Alphonse J.Matt,Jr. (Bene) IRA Rollover
Claimant Lawyers(s): Thomas F. Shine
Respondent(s): Kimon Peter Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Audette Paul Morales
Arbitrator(s): Lawrence J. Welte, James A. Lundberg, Douglas J. Nesbit
Hearing Site: Minneapolis, MN
Checkmark IconStipulated Award and Expungement
10-0339912/03/2010Claimant(s): Morgan Stanley
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Timothy Scanlan
Respondent Lawyers(s): James A. McGurk
Arbitrator(s): James A. Lundberg
Hearing Site: Milwaukee, WI
09-0098810/26/2010Claimant(s): Ed Conlin & Associates
Claimant Lawyers(s): Brent A. Lorentz
Respondent(s): Kenneth Marchiol, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jeffrey B. Kelvin, Kirsten Schubert
Arbitrator(s): James A. Lundberg, Richard A. Mosman, Larry N. Litt
Hearing Site: Minneapolis, MN
Checkmark Icon$0
09-0657107/13/2010Claimant(s): Edwin Lundgren
Claimant Lawyers(s): E. Brent Lundgren
Respondent(s): William Park
Respondent Lawyers(s): William Brown Park
Arbitrator(s): James A. Lundberg
Hearing Site: Bismarck, ND
09-0164206/28/2010Claimant(s): Michael McMahon
Claimant Lawyers(s): Shannon M. McDonough
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): James A. Lundberg, Andrew R. Dick, Gary L. Hansen
Hearing Site: Minneapolis, MN
09-0251610/12/2009Claimant(s): Kenneth Cherrier
Claimant Lawyers(s): Terrence J. Fleming
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Irene E. Bassock
Arbitrator(s): James A. Lundberg, Loyall E. Wilson, Donald Ray McNeil
Hearing Site: Minneapolis, MN
07-0258509/30/2008Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Aaron R. Hartman
Respondent(s): Andrew Bjornlie, James Bjornlie, RBC Dain Rauscher.
Respondent Lawyers(s): Peter J. Meyer
Arbitrator(s): Judith A. Rogosheske, James A. Lundberg, Gary L. Hansen
Hearing Site: Minneapolis, MN

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