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FINRA Awards for Mark S. Gleason

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Displaying 10 out of 13 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0084512/17/2021Claimant(s): Brian Smith
Claimant Lawyers(s): Bruce C. Recher
Respondent(s): Royal Jaros
Respondent Lawyers(s): Charlie R. Alden
Arbitrator(s): Mark S. Gleason, John Carl Bjork, Lindsay Keller
Hearing Site: Minneapolis, MN
17-0026510/27/2021Claimant(s): Evelyn Wurm, Paul Wurm, Paul & Evelyn Wurm JTWROS
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Christopher Olson
Respondent Lawyers(s): Christopher Ronald Olson
Arbitrator(s): Mark S. Gleason
Hearing Site: Minneapolis, MN
Checkmark Icon$0
20-0150502/17/2021Claimant(s): Jason Erickson
Claimant Lawyers(s): Brian Luther
Respondent(s): Capital Financial Services., United Planners' Financial Services Of A
Respondent Lawyers(s): David B. Hauer, Gordon Dihle
Arbitrator(s): Mark S. Gleason
Hearing Site: Minneapolis, MN
14-0123801/26/2016Claimant(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
Checkmark IconExpungement
14-0038309/22/2015Claimant(s): Donna Cramer, John Cramer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Terry F. Peppard, Kevin D. Hofman, Mark S. Gleason
Hearing Site: Minneapolis, MN
Checkmark Icon$58,563
12-0041909/25/2012Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan S. Smith
Respondent(s): George Anastos
Respondent Lawyers(s): George J. Anastos
Arbitrator(s): Mark S. Gleason
Hearing Site: Minneapolis, MN
10-0429902/17/2012Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Carrie Bechtold
Respondent(s): Leslie Ingram Miller
Respondent Lawyers(s): Leslie Ann Ingram Miller
Arbitrator(s): Douglas Randall Blohm, Kathryn J. Hoy, Mark S. Gleason
Hearing Site: Minneapolis, MN
09-0470010/28/2011Claimant(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
Checkmark IconStipulated Award
10-0150206/21/2011Claimant(s): Thomas Laird
Claimant Lawyers(s): David E. Schlesinger
Respondent(s): Gerry Hairgrove, James Tricolli, RBC Capital Markets LLC, Stephen Yanisch
Respondent Lawyers(s): Kim M. Ruckdaschel-Haley
Arbitrator(s): Robert E. Robertson, Mark S. Gleason, Peter N. Thompson
Hearing Site: Minneapolis, MN
09-0493211/10/2010Claimant(s): RSA 1 Limited Partnership
Claimant Lawyers(s): Stanley J. Thompson
Respondent(s): Duane Sturm, Raymond James Financial Services., Raymond, James & Associates.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Andrew R. Dick, Mark S. Gleason, Steven C. Despotovich
Hearing Site: Des Moines, IA
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