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
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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
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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
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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 |
23-01477 | 05/09/2024 | Claimant(s): Joseph Swanson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Principal Securities. Respondent Lawyers(s): Kathryn Roe Eldridge Arbitrator(s): Phyllis Karasov Hearing Site: Minneapolis, MN
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23-03182 | 03/13/2024 | Claimant(s): Jon Drees Claimant Lawyers(s): Jon Drees Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Grant D. Sanders Hearing Site: Minneapolis, MN
| | $0 |
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 |
23-01125 | 12/26/2023 | Claimant(s): Sahand Elmtalab Claimant Lawyers(s): Michael E. Rowe Respondent(s): Mml Investors Services, Llc, Northwestern Mutual Investment Services, Respondent Lawyers(s): Clarke C. Greene, Jullie E. Ravis Arbitrator(s): Tracy L. Allen Hearing Site: Minneapolis, MN
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23-02204 | 12/14/2023 | Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Keith J. Barnett Respondent(s): Mitchell Roby Respondent Lawyers(s): Mitchell Roby Arbitrator(s): Leo G. Stern Hearing Site: Minneapolis, MN
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