21-01387 | 05/24/2023 | Claimant(s): Pascal Desrosiers Claimant Lawyers(s): Aklilu Dunlap Respondent(s): Truist Investment Services. Respondent Lawyers(s): Thomas DeFranco Arbitrator(s): Charles R. Manzoni, Peter N. Thompson, Jo Anne F. Lewellen Hearing Site: Minneapolis, MN
| | $0 |
21-01931 | 08/05/2022 | Claimant(s): Grant R. Lambert Lim Access TR DTD 12-27 Claimant Lawyers(s): Robert Kerrigan Respondent(s): Worden Capital Management LLC, Jamie Worden, Michael Valdini Respondent Lawyers(s): Jamie John Worden, Michael Anthony Valdini Arbitrator(s): Thomas J. Gmeinder, Frederick Ramos, Jo Anne F. Lewellen Hearing Site: Minneapolis, MN
| | $305,000 |
20-03807 | 03/12/2021 | Claimant(s): Douglas Bjornson Claimant Lawyers(s): Jennifer A. Bjornson-Gillespie Respondent(s): Gail Van Horn, Katherine Whelan, Kevin Christ, U.S. Bancorp Investments. Respondent Lawyers(s): John Rock Arbitrator(s): Dean J. Dietrich, Gerry A. Gunderson, Jo Anne F. Lewellen Hearing Site: Bismarck, ND
| | Dismissed by Rule 12206 |
14-01238 | 01/26/2016 | Claimant(s): Beverly Houts, W. Houts, Geneva BCCX XI, Geneva BCCX XII Claimant Lawyers(s): Kalju Nekvasil Respondent(s): Northland Securities. Respondent Lawyers(s): Sydney H. Crowder Arbitrator(s): Mark S. Gleason, Jonathan B. Gilbert, Jo Anne F. Lewellen Hearing Site: Minneapolis, MN
| | Expungement |
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 |
13-03278 | 11/13/2014 | Claimant(s): Patrick Kelly Claimant Lawyers(s): James C. MacGillis Respondent(s): Sagepoint Financial., American International Group., SAI Deferred Compensation Holdings. Respondent Lawyers(s): Corporate Office, Gregory M. Curley Arbitrator(s): Kevin D. Hofman, Jo Anne F. Lewellen, Kathleen Sweeney Tillotson Hearing Site: Minneapolis, MN
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11-01696 | 01/04/2013 | Claimant(s): Theodore Pavlovich Claimant Lawyers(s): Theodore Adam Pavlovich Respondent(s): Mark Mekler, Raymond, James & Associates. Respondent Lawyers(s): Marko J. Mrkonich Arbitrator(s): Douglas Randall Blohm, John W. MacKimm, Jo Anne F. Lewellen Hearing Site: Minneapolis, MN
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