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FINRA Awards for Ameriprise Advisor Services.

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Displaying 31-40 out of 66 results
Case Number Award Date Case Summary Customer Case? Amount Granted
08-0293202/18/2010Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): James Patton
Respondent Lawyers(s): Lisa Bond
Arbitrator(s): Basil Lewis, Willard H. Altman, James Belk
Hearing Site: Los Angeles, CA
08-0324311/23/2009Claimant(s): Christopher Winton
Claimant Lawyers(s): Todd R. Hixon
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Henry Hermann, Donald C. Hood, Helmut O. Wolff
Hearing Site: Dallas, TX
09-0050311/13/2009Claimant(s): Andrew Krynik
Claimant Lawyers(s): David C. Gunn
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Edward J. Lynch
Hearing Site: Dallas, TX
Checkmark Icon$18,039
09-0055011/11/2009Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): William Stroup
Respondent Lawyers(s): William Clayton Stroup
Arbitrator(s): Frank F. Foys, Robert B. Schmidt, Suanne F. Goldman
Hearing Site: Chicago, IL
09-0189410/15/2009Claimant(s): Jeffrey B Yeager and Grazyna Yeager
Claimant Lawyers(s): Jeffrey B Yeager
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Lisa S. Fildes
Arbitrator(s): John P. Gouttiere
Hearing Site: Detroit, MI
Checkmark Icon$0
08-0357408/31/2009Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Thomas Heinz Teltscher
Respondent Lawyers(s): Thomas K. Heinz Teltscher
Arbitrator(s): Robert D. Sussin, Gerald C. Tambe, William J. Adams
Hearing Site: Los Angeles, CA
08-0212907/20/2009Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Kevin Leet
Respondent Lawyers(s): Brigid O. Gies
Arbitrator(s): John C. Schenkenfelder, Amelia F. Adams, Alex H. Keller
Hearing Site: Louisville, KY
08-0241406/05/2009Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Donald Dormody
Respondent Lawyers(s): Timothy J. Koral
Arbitrator(s): Peter L. Pointer, Steven L. Wasserman, Jeffrey V. Gery
Hearing Site: Cleveland, OH
08-0222805/06/2009Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Ralph Lustin
Respondent Lawyers(s): Ralph A. Lustin
Arbitrator(s): James J. Dalton
Hearing Site: Atlanta, GA
Checkmark Icon$0
08-0417304/22/2009Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Parker
Respondent Lawyers(s): Michael Joe Parker
Arbitrator(s): Robert A. Vogler
Hearing Site: Detroit, MI

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