| 09-06590 | 08/02/2011 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Franklin Hill
Respondent Lawyers(s): Franklin Hill
Arbitrator(s): Merle D. Rockwell, Yvette C. Hatfield, Gene E. Godley
Hearing Site: Washington, DC
| | |
| 10-00550 | 05/10/2011 | Claimant(s): Ameriprise Advisor Services., Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Alfred Keyser
Respondent Lawyers(s): Alfred Keyser
Arbitrator(s): John A. Gray, Stephanie Jean Malevich, Gerald B. Marcovsky
Hearing Site: Washington, DC
| | |
| 09-06430 | 04/15/2011 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Larry J. Lipka
Respondent(s): Joseph Jackson
Respondent Lawyers(s): Joseph A. Jackson
Arbitrator(s): Richard Charles Hotvedt
Hearing Site: Tampa, FL
| | |
| 09-06154 | 03/24/2011 | Claimant(s): Kevin Afnan
Claimant Lawyers(s): Andrew A. Kabat
Respondent(s): Ameriprise Advisor Services., Ameriprise Financial Services.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Bert S Cliff, Ellen Holland Keller, Robert M Lustig
Hearing Site: Cleveland, OH
| | |
| 09-06429 | 03/22/2011 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): John Hopkins
Respondent Lawyers(s): John H. Ridley
Arbitrator(s): J. Maxwell Williams
Hearing Site: Atlanta, GA
| | |
| 10-00145 | 03/09/2011 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Homer Vining
Respondent Lawyers(s): Homer Vining
Arbitrator(s): Hugh J. Moore
Hearing Site: Atlanta, GA
| | |
| 09-04380 | 12/02/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Paul Fischetti
Respondent Lawyers(s): Allan P. Whitehead
Arbitrator(s): Paul Lilling, Gary F. Lang, Stuart S. Billington
Hearing Site: Orlando, FL
| | |
| 09-06768 | 12/01/2010 | Claimant(s): Seymour Lowell and Lee G. Lowell
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Randy R. Freedman, Gloria F. Katz, Mark David Hunter
Hearing Site: Boca Raton, FL
|  | Stipulated Award and Expungement |
| 09-03802 | 11/15/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Rockwell Pearson
Respondent Lawyers(s): Rockwell Stuart Pearson
Arbitrator(s): Leon C. Tupy
Hearing Site: Denver, CO
| | |
| 09-06159 | 09/30/2010 | Claimant(s): Eric Friedlander
Claimant Lawyers(s): David E. Robbins
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Julita Kargol
Arbitrator(s): Richard W. Cutler, Jettie K. Thomas, Milton M. Stein
Hearing Site: New York, NY
| | $0 |
