06-03052 | 03/02/2009 | Claimant(s): Lawrence Adelman Claimant Lawyers(s): Andrew A. Kabat Respondent(s): Ameriprise Advisor Services. Respondent Lawyers(s): Ronald P. Kane Arbitrator(s): James A. Laurenson, Mitchell B. Goldberg, Blanca E. Ortiz Hearing Site: Cleveland, OH
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07-01469 | 02/24/2009 | Claimant(s): Ameriprise Advisor Services. Claimant Lawyers(s): Edward Walton Respondent(s): Christopher Theut Respondent Lawyers(s): Jack J. Mazzara Arbitrator(s): Mauricio Kohn, Patrick R. Sughroue, Eric S. Richards Hearing Site: Detroit, MI
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07-02096 | 02/17/2009 | Claimant(s): David Glazov Claimant Lawyers(s): D. Aaron Brock Respondent(s): Ameriprise Advisor Services., Robert Terry Respondent Lawyers(s): Timothy N. Will Arbitrator(s): Mandel E. Himelstein, Harold K. Hunt, Dennis A. Torres Hearing Site: Los Angeles, CA
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08-01267 | 02/09/2009 | Claimant(s): Ameriprise Advisor Services. Claimant Lawyers(s): Edward A. Walton Respondent(s): Antonio Fontana Respondent Lawyers(s): William F. Clark Arbitrator(s): Kathryn L. Krebs, Carol Jeanne Medof, Paul Frederick Meyer Hearing Site: Los Angeles, CA
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07-02544 | 01/13/2009 | Claimant(s): Eleanor Taylor, IRA Claimant Lawyers(s): David M. Foster Respondent(s): Ameriprise Advisor Services., Michael Howe, Janney Montgomery Scott LLC Respondent Lawyers(s): Donald P. Wray, Paula D. Shaffner Arbitrator(s): Edward M. Olson, Keith J. Koerber, Harvey Frank Hearing Site: Detroit, MI
| | $0 |
07-03163 | 12/30/2008 | Claimant(s): Robert Bonds and Gilda Bonds Claimant Lawyers(s): Dan K. Worthington Respondent(s): Ameriprise Advisor Services., Robert Bullock Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): W. Merrill Glasgow, Timothy L. Andrews, William A. Allen Hearing Site: Houston, TX
| | Expungement |
07-03628 | 11/10/2008 | Claimant(s): David Lobato Claimant Lawyers(s): David Lobato Respondent(s): Ameriprise Advisor Services. Respondent Lawyers(s): Edward A. Walton Arbitrator(s): Alun Hywel Jones Hearing Site: New York, NY
| | $0 |
07-02907 | 11/06/2008 | Claimant(s): Lorraine Moskal, Lorraine Moskal IRA, Lorraine Moskall 2002 Trust Claimant Lawyers(s): Willliam H. Falin Respondent(s): Ameriprise Advisor Services., Gregory Vanek Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): C. Robert Rittberger, Jason C. Blackford, Ralph A. Beard Hearing Site: Cleveland, OH
| | $0 |
08-00148 | 10/10/2008 | Claimant(s): Ameriprise Advisor Services. Claimant Lawyers(s): Edward A. Walton Respondent(s): Douglas Studer Respondent Lawyers(s): T. Gregory Slother Arbitrator(s): Lon M. Hatton, Jonathan H. Stein, Robert Kevin O'Mara Hearing Site: Tampa, FL
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06-01679 | 08/20/2008 | Claimant(s): Robert Montanino Claimant Lawyers(s): Bruce D. Oakes Respondent(s): Ameriprise Advisor Services. Respondent Lawyers(s): Donald P. Wray Arbitrator(s): Richard L. Herzfeld, Donald Raymond McNally, Mary Noe Hearing Site: New York, NY
| | $40,000 |