| 09-01518 | 03/13/2012 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Soukkay Keomysy
Respondent Lawyers(s): Adam A. Gillette
Arbitrator(s): Emily F. Seesel, Jeffrey W. Jacobs, John R. Lepley
Hearing Site: Minneapolis, MN
| | |
| 09-04700 | 10/28/2011 | Claimant(s): Douglas Pippert, Kira Pippert, Kira Ann Pippert Revocable Trust
Claimant Lawyers(s): Adam A. Gillette, Thomas E. Jamison
Respondent(s): Michael Blake, Olympus Financial Advisors.
Respondent Lawyers(s): Roger W. Hall
Arbitrator(s): Edward C. Oliver, Emily F. Seesel, Mark S. Gleason
Hearing Site: Minneapolis, MN
|  | Stipulated Award |
| 08-04398 | 11/12/2009 | Claimant(s): Northern Oil and Gas.
Claimant Lawyers(s): Matthew T. Boos
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Terrence J. Fleming
Arbitrator(s): Douglas G. Plank, Emily F. Seesel, Duane W. Krohnke
Hearing Site: Minneapolis, MN
| | $875,352 |
| 06-05044 | 02/26/2009 | Claimant(s): Ernest Pierson, Ernest C. Pierson IRA
Claimant Lawyers(s): Lewis A. Remele
Respondent(s): Arthur Sherman, Morgan Stanley DW Inc.
Respondent Lawyers(s): August Jamie Schupp
Arbitrator(s): Douglas J. Nesbit, Emily F. Seesel, Marjorie I. Fisher
Hearing Site: Minneapolis, MN
| | $395,000 |
| 07-01783 | 10/06/2008 | Claimant(s): Pamela Schmidt, Pamela A. Schmidt Trust
Claimant Lawyers(s): Thomas P. Swigert
Respondent(s): Raymond James Financial Services., Thomas Shian
Respondent Lawyers(s): Erin Linehan, Thomas Shian
Arbitrator(s): Emily F. Seesel, Paul J. Hennen, Steven M. Bialick
Hearing Site: Minneapolis, MN
| | $145,300 |
