| 23-02819 | 05/23/2024 | Claimant(s): David Hanvey
Claimant Lawyers(s): Harris Freedman
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Carolyn E. Moore
Hearing Site: Tampa, FL
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| 20-02491 | 02/11/2021 | Claimant(s): Stephen Ledyard
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
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| 20-00040 | 12/10/2020 | Claimant(s): Kenneth Arellano
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Thomas E. Webb
Hearing Site: Buffalo, NY
| | |
| 20-00381 | 12/10/2020 | Claimant(s): Steven Lopez
Claimant Lawyers(s): James Eccleston
Respondent(s): Ameriprise Advisor Services., Ameriprise Financial Services, Olde Discount Corporation
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Frank Samuelsohn, Kenneth N. Adamson, Raymond P. Buschmann
Hearing Site: Chicago, IL
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| 18-02700 | 01/24/2019 | Claimant(s): Kevin Turnock
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Carl Shechter
Hearing Site: Boca Raton, FL
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| 18-02196 | 01/09/2019 | Claimant(s): Kevin Moran
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
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| 17-01764 | 07/27/2018 | Claimant(s): James Patton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Alan M. Rosen
Hearing Site: Los Angeles, CA
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| 13-02796 | 06/11/2015 | Claimant(s): Kelina Normil
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Ameriprise Advisor Services., Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard J. Kaplan, Robert J. Buchner, Kimberlee Ann Fowler
Hearing Site: Boca Raton, FL
|  | Expungement |
| 09-05679 | 05/14/2012 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Jimmie Canole
Respondent Lawyers(s): Jimmie Dean Canole
Arbitrator(s): Gary M. Landau
Hearing Site: Orlando, FL
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| 10-04487 | 08/17/2011 | Claimant(s): John Sullivan
Claimant Lawyers(s): John F. Sullivan
Respondent(s): Andrew Kistler, Anthony Juliano, Christopher Zelesnick, Ameriprise Advisor Services., Douglas Aldridge, Frank Teodosio, Ameriprise Financial Services., Joan Cohen, Kathleen Dedenbach, Michael Barrella
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Alfred P. Reeves, Steven Ira Weinberger, Ellen J. Abrams
Hearing Site: Boca Raton, FL
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