| 20-02507 | 10/30/2024 | Claimant(s): Cinda Collins
Claimant Lawyers(s): Vincent D. Louwagie
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Kevin D. Hofman, Jo Anne F. Lewellen, Nathaniel Cade
Hearing Site: Minneapolis, MN
| | |
| 24-00059 | 10/09/2024 | Claimant(s): Doris Schake, Jason Schake
Claimant Lawyers(s): Doris Schake
Respondent(s): OSAIC Wealth
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Peter N. Thompson, LaVon C. Phillips, Ansis Viksnins
Hearing Site: Minneapolis, MN
|  | $0 |
| 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 |
| 24-01196 | 09/26/2024 | Claimant(s): Karan Patel
Claimant Lawyers(s): Karan B. Patel
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Simeon M. Schopf
Arbitrator(s): Gregory G. Gocek
Hearing Site: Minneapolis, MN
| | $88 |
| 23-02778 | 09/05/2024 | Claimant(s): Joseph Michaletz
Claimant Lawyers(s): Nathan Lamb
Respondent(s): DAI Securities
Respondent Lawyers(s): Ernest G. Strauss
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Minneapolis, MN
| | |
| 22-00090 | 08/29/2024 | Claimant(s): International Assets Advisory, International Assets Investment Mgmt LLC
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Jacob Jansen
Respondent Lawyers(s): Joseph B. Alonso
Arbitrator(s): Michael J. Meeusen, Thomas J. Gmeinder, James Martell Martin
Hearing Site: Minneapolis, MN
| | |
| 23-03351 | 08/12/2024 | Claimant(s): Lee Rycraft
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Minneapolis, MN
| | |
| 24-00041 | 08/05/2024 | Claimant(s): Andrew Schelitzche
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Frederick Ramos
Hearing Site: Minneapolis, MN
| | |
| 24-00271 | 07/26/2024 | Claimant(s): Douglas Kleckner
Claimant Lawyers(s): Matthew E. Wolper
Respondent(s): Monmouth Capital Management LLC
Respondent Lawyers(s): Robert Meyer, CEO
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Minneapolis, MN
| | $483,427 |
| 22-02737 | 06/06/2024 | Claimant(s): Rosenau Family Research Foundation
Claimant Lawyers(s): Donald R. McNeil
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Jeffrey W. Jacobs, Leo G. Stern, Joseph Darwin Kenyon
Hearing Site: Minneapolis, MN
| | $7,342,000 |
