| 15-00473 | 03/04/2016 | Claimant(s): Kim Stern
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Kevin R. McManaman
Arbitrator(s): Terry F. Peppard, Brett W. Olander, Verne R. Gray
Hearing Site: Des Moines, IA
|  | $57,925 |
| 13-03769 | 12/15/2015 | Claimant(s): Kenneth Alexon
Claimant Lawyers(s): Steven Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Brett W. Olander, Jo Anne F. Lewellen, Steven Eric Brandes
Hearing Site: Minneapolis, MN
| | Expungement |
| 14-00499 | 04/02/2015 | Claimant(s): Benjamin F. Edwards & Company.
Claimant Lawyers(s): Joseph W. Anthony
Respondent(s): Janel Goff
Respondent Lawyers(s): Donald R. McNeil
Arbitrator(s): Bruce J. Nerland, Brett W. Olander, Leo G. Stern
Hearing Site: Minneapolis, MN
| | |
| 14-00142 | 11/17/2014 | Claimant(s): James Pietrowski
Claimant Lawyers(s): Scott D. Hirsch
Respondent(s): Berthel, Fisher & Company Financial
Respondent Lawyers(s): Cory D. Olson
Arbitrator(s): Brett W. Olander, Robert Lee Nelson, Susan M. Sanger
Hearing Site: Minneapolis, MN
| | $0 |
| 13-00269 | 05/19/2014 | Claimant(s): James D. Hera Revocable Trust
Claimant Lawyers(s): Michael MacDonald
Respondent(s): Michael Kinney
Respondent Lawyers(s): Michael Thomas Kinney
Arbitrator(s): Richard A. Mosman, Jack D. Elmquist, Brett W. Olander
Hearing Site: Minneapolis, MN
| | $75,000 |
| 12-04315 | 08/12/2013 | Claimant(s): Christine Cooperman, Clyde Cooperman, Paul Seyb, Wendy Seyb
Claimant Lawyers(s): Kristian P. Kyros
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Kevin D. Hofman, Jeffrey A. Schuh, Brett W. Olander
Hearing Site: Minneapolis, MN
| | Expungement |
| 12-01219 | 06/03/2013 | Claimant(s): Marilee Swanson, Marilee D. Swanson Roth IRA, Marilee D. Swanson Trust
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Douglas J. Nesbit, Brett W. Olander, Jerome B. Simon
Hearing Site: Minneapolis, MN
| | $0 |
| 11-03704 | 05/06/2013 | Claimant(s): Eugene Opatz, Ruth Opatz
Claimant Lawyers(s): Donald R. McNeil
Respondent(s): David Theis
Respondent Lawyers(s): Davis Alan Theis
Arbitrator(s): Peter N. Thompson, Brett W. Olander, Robert S. Burk
Hearing Site: Minneapolis, MN
| | $1,174,350 |
| 11-01872 | 12/14/2012 | Claimant(s): Barbara Istas, James Istas
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise Johnson
Arbitrator(s): Andrew R. Dick, Peter N. Thompson, Brett W. Olander
Hearing Site: Minneapolis, MN
| | Expungement |
| 10-04681 | 08/08/2012 | Claimant(s): William Kiefer
Claimant Lawyers(s): William Kiefer
Respondent(s): Fintegra
Respondent Lawyers(s): Sandra Smalley-Fleming
Arbitrator(s): Gerald M. Gifford, Brett W. Olander, Leo G. Stern
Hearing Site: Minneapolis, MN
| | |
