| 12-01626 | 02/12/2014 | Claimant(s): Frances Moening, Ronald Moening
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): James H. Colburn, Kathy A. Tatone, Steven M. Bialick
Hearing Site: Minneapolis, MN
|  | Expungement |
| 12-03507 | 11/26/2013 | Claimant(s): US. Bancorp Investments.
Claimant Lawyers(s): Rena Andoh
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Richard A. Mosman, Kenneth O. Fossey, Kathy A. Tatone
Hearing Site: Minneapolis, MN
| | |
| 11-02451 | 04/17/2013 | Claimant(s): KRI Investments Limited, KRI Investment Limited Partnership, Richard G & Kathleen Werner Limited Part
Claimant Lawyers(s): Richard Sacks
Respondent(s): Angelo Piciucco, Kelly Ullom, Sunset Financial Services.
Respondent Lawyers(s): John W. Shaw, Michael J. Steinlage
Arbitrator(s): Peter N. Thompson, Kathy A. Tatone
Hearing Site: Minneapolis, MN
| | Expungement |
| 10-01454 | 05/22/2012 | Claimant(s): Sharon Palas
Claimant Lawyers(s): Chad A. Snyder
Respondent(s): Bruce Lick, Wells Fargo Advisors, David Cooper
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Kathryn J. Hoy, Kathy A. Tatone, Frank Abramson
Hearing Site: Minneapolis, MN
| | $0 |
| 10-05705 | 01/13/2012 | Claimant(s): Paul Covill
Claimant Lawyers(s): Paul W. Covill
Respondent(s): James Smith
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Kathy A. Tatone
Hearing Site: Minneapolis, MN
| | Expungement |
| 11-00874 | 08/16/2011 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana Sur
Respondent(s): Robert Brooks
Respondent Lawyers(s): Robert Jay Brooks
Arbitrator(s): Kathy A. Tatone
Hearing Site: Minneapolis, MN
| | |
| 08-04425 | 05/14/2010 | Claimant(s): Guenther Roth
Claimant Lawyers(s): Thomas E. Jamison
Respondent(s): David Tysk, Ameriprise Financial Services.
Respondent Lawyers(s): John Rock
Arbitrator(s): Kathy A. Tatone, Arthur Richard Tow, Gary L. Hansen
Hearing Site: Minneapolis, MN
| | $466,000 |
