| 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 |
| 19-01621 | 12/13/2019 | Claimant(s): Nathan Bergeland
Claimant Lawyers(s): Nathan Daniel Bergeland
Respondent(s): Gary Orcutt
Respondent Lawyers(s): Gary Warren Orcutt
Arbitrator(s): Grant D. Sanders
Hearing Site: Minneapolis, MN
| | |
| 17-02617 | 11/20/2019 | Claimant(s): Kevin Rouse
Claimant Lawyers(s): Kevin Rouse
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Alain Frecon, Mary Louise Hilfiker, Robert Meredith Altman-Segal
Hearing Site: Minneapolis, MN
| | Rule 12504(b) |
| 18-03461 | 11/04/2019 | Claimant(s): Jeffrey Rathmanner
Claimant Lawyers(s): Brooke D. Anthony
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Thomas J. Gmeinder, Michael Herring, Lindsay Keller
Hearing Site: Minneapolis, MN
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| 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
| | |
| 19-00432 | 10/09/2019 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Renan Sugarman
Respondent(s): Jeremy Mandler
Respondent Lawyers(s): Jeremy Scott Mandler
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Minneapolis, MN
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| 17-02974 | 09/16/2019 | Claimant(s): Diana Peterson
Claimant Lawyers(s): Michael C. Mahoney
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Marko J. Mrkonich
Arbitrator(s): Roger George Lindquist, Peter N. Thompson, Nell Mathews
Hearing Site: Minneapolis, MN
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| 19-00091 | 08/06/2019 | Claimant(s): Timothy Jirak
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Barry Goldman
Hearing Site: Minneapolis, MN
| | |
| 18-04093 | 07/24/2019 | Claimant(s): Capital Financial Services.
Claimant Lawyers(s): Gordon Dihle
Respondent(s): Gary Gilbert
Respondent Lawyers(s): Chet Taylor
Arbitrator(s): Jack D. Elmquist
Hearing Site: Minneapolis, MN
| | |
| 18-04241 | 07/16/2019 | Claimant(s): Michael Hogan
Claimant Lawyers(s): Matthew Wolper
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Christina Z. Vourakis
Arbitrator(s): Phyllis Karasov
Hearing Site: Minneapolis, MN
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