23-03068 | 10/08/2024 | Claimant(s): Michael Loren Koehler IRA 401K Plan Claimant Lawyers(s): Roberta Ann Koehler Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Erin Sinclair Arbitrator(s): Douglas J. Nesbit, Phyllis Karasov, William M. Azkoul Hearing Site: Minneapolis, MN
| | $300 |
22-02918 | 01/29/2024 | Claimant(s): Carlos Tobon Claimant Lawyers(s): Steven J. Weintraut Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC Respondent Lawyers(s): Joseph L. Calabrese Arbitrator(s): Douglas J. Nesbit Hearing Site: Minneapolis, MN
| | $4,000 |
21-00606 | 12/21/2022 | Claimant(s): Mitchell Bublitz, IRA Claimant Lawyers(s): Michael MacDonald Respondent(s): Stifel, Nicolaus & Co.., Richard Schultz Respondent Lawyers(s): Julie H. Firestone Arbitrator(s): Jack D. Elmquist, Douglas J. Nesbit, Mary Louise Hilfiker Hearing Site: Minneapolis, MN
| | $1,000 |
20-03370 | 01/14/2022 | Claimant(s): Larry Krmpotich Claimant Lawyers(s): Thomas J. Momjian Respondent(s): Stifel, Nicolaus & Co.. Respondent Lawyers(s): Amy L. Blaisdell Arbitrator(s): Douglas J. Nesbit, John M. James, David Ernest Krause Hearing Site: Minneapolis, MN
| | |
19-00571 | 08/04/2021 | Claimant(s): Darla D. Ward, Lawrence J. Ward Claimant Lawyers(s): F. Chet Taylor Respondent(s): Cheryl Romann, Donald Waage, John Carlson, Steven Knuttila, Capital Financial Services. Respondent Lawyers(s): Cheryl Lynn Romann, David A. Baugh, Donald Waage, Gordon Dihle, Steven R. Knuttila Arbitrator(s): Douglas J. Nesbit, Phyllis Karasov, Leo G. Stern Hearing Site: Minneapolis, MN
| | $939,300 |
19-01881 | 12/27/2019 | Claimant(s): Michael Rowan IRA Claimant Lawyers(s): Jennifer Tarr Respondent(s): Adam Morsi, Michael Guilfoyle, Legend Securities. Respondent Lawyers(s): Hisham Hamed, Michael Nicholas Guilfoyle, Salvatore Caruso Arbitrator(s): Douglas J. Nesbit Hearing Site: Minneapolis, MN
| | $36,000 |
18-03256 | 10/15/2019 | Claimant(s): Feltl & Company Claimant Lawyers(s): Debra L. Weiss Respondent(s): Robert Long Respondent Lawyers(s): Jared M. Goerlitz Arbitrator(s): Douglas J. Nesbit, William Benjamin Gavzy, Michael Anthony Pysno Hearing Site: Minneapolis, MN
| | |
17-03250 | 01/18/2019 | Claimant(s): Devonne Kjellsen, Janet Kjellsen Claimant Lawyers(s): Kristian P. Kraszewski Respondent(s): Morgan Stanley Respondent Lawyers(s): Jeremy Winer Arbitrator(s): Douglas J. Nesbit Hearing Site: Minneapolis, MN
| | $0 |
18-01200 | 09/28/2018 | Claimant(s): John Degelmann Claimant Lawyers(s): Elizabeth Ridley Respondent(s): Prudential Investment Management Service Respondent Lawyers(s): Alan S. Brodherson Arbitrator(s): Douglas J. Nesbit Hearing Site: Minneapolis, MN
| | |
18-00298 | 08/22/2018 | Claimant(s): Bradley Von Essen Claimant Lawyers(s): Bradley Von Essen Respondent(s): John Sclafani, Morgan Wilshire Securities. Respondent Lawyers(s): John V. Sclafani, Michael Finnan Arbitrator(s): Douglas J. Nesbit Hearing Site: Minneapolis, MN
| | $425 |