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FINRA Awards for Ameriprise Advisor Services.

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Displaying 61-66 out of 66 results
Case Number Award Date Case Summary Customer Case? Amount Granted
06-0135011/27/2007Claimant(s): Barbara Kesterson
Claimant Lawyers(s): John L. Hampton
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Kathleen Dedenbach
Arbitrator(s): David A. Nixon, James A. Hayes, Michael A. Kleinman
Hearing Site: Kansas City, MO
07-0025511/15/2007Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Tara Richardson
Respondent Lawyers(s): Steven G. Wenzel
Arbitrator(s): Stephen P. Savitt, L. Matthew Byrd, Daniel B. Daugherty
Hearing Site: Tampa, FL
06-0441610/25/2007Claimant(s): Franklin Fitch
Claimant Lawyers(s): Richard J. Edson
Respondent(s): Ameriprise Advisor Services., Manish Mukhi
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Paul Davis Pearlstein, Deborah Page Aune, Olivia Milbank Farrar
Hearing Site: Washington, DC
Checkmark IconStipulated Award and Expungement
06-0421209/25/2007Claimant(s): Estate of William F. Deinhard
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Ameriprise Advisor Services., Jonathan Zweifel
Respondent Lawyers(s): Howard Klausmeier, Ronald P. Kane
Arbitrator(s): John A. Goffrier, William B. Kirby, James G. Harlan
Hearing Site: Boise, ID
Checkmark Icon$0
07-0081808/22/2007Claimant(s): David Sepanik, Mary Sepanik
Claimant Lawyers(s): David Edward Sepanik, Mary Ann Sepanik
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Stewart C.W. Weiner
Hearing Site: Detroit, MI
Checkmark Icon$325
06-0289908/09/2007Claimant(s): Vincent Tribo
Claimant Lawyers(s): Helen B Bloch
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Donald P. Wray
Arbitrator(s): Stuart M. Widman, Sheldon I. Saitlin, Thomas E. Haviland
Hearing Site: Chicago, IL
Checkmark Icon$0

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