| 18-01341 | 11/13/2018 | Claimant(s): Robert J Narveson IRA, Robert J Narveson & Stephanie T Narveson
Claimant Lawyers(s): Michael MacDonald
Respondent(s): Jay Brown
Respondent Lawyers(s): David Baugh
Arbitrator(s): Jack D. Elmquist
Hearing Site: Minneapolis, MN
|  | Expungement |
| 18-00053 | 10/26/2018 | Claimant(s): Mark Stephan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Kyle Osting
Arbitrator(s): Peter N. Thompson
Hearing Site: Minneapolis, MN
| | |
| 15-02810 | 10/09/2018 | Claimant(s): Bonnie Faleschini, David Plimpton, Randy Reinke, Richard Faleschini, Sally Redding, Susan Plimpton, Tim Redding
Claimant Lawyers(s): Steven J. Weintraut
Respondent(s): Charles Zajicek, Christopher Most, Wachovia Securities, Wells Fargo Advisors, Wells Fargo Clearing Services
Respondent Lawyers(s): Miriam G. Bahcall
Arbitrator(s): Steven R. Christensen, Michael F. Jordan, Steven M. Bialick
Hearing Site: Minneapolis, MN
| | $430,000 |
| 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
| | |
| 16-03388 | 09/25/2018 | Claimant(s): Robert Anderson
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Wells Fargo Advisors, Raymond Kvalvog
Respondent Lawyers(s): Demian John Betz, Michael E.. Rowe
Arbitrator(s): Daniel M. Yamshon, William Michael Samsel, Steven M. Bialick
Hearing Site: Minneapolis, MN
| | $75,384 |
| 18-00484 | 09/07/2018 | Claimant(s): Patrick Kelly
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Miller Johnson Steichen Kinnard.
Respondent Lawyers(s): William M. Goblirsch
Arbitrator(s): Peter N. Thompson
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 |
| 18-00977 | 08/22/2018 | Claimant(s): Marc Lowenthal, UTMA
Claimant Lawyers(s): Garry Lowenthal
Respondent(s): Feltl & Company
Respondent Lawyers(s): Mitchell Edwards
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
| | $88 |
| 17-03450 | 08/09/2018 | Claimant(s): Thomas Brandt
Claimant Lawyers(s): Eric Litow
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Thomas J. Gmeinder
Hearing Site: Minneapolis, MN
| | |
| 17-00990 | 08/08/2018 | Claimant(s): John Gherty, M. Anne Gherty
Claimant Lawyers(s): Matthew T. Boos
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Randall Johnson
Respondent Lawyers(s): Joseph A. Sack, Joseph W. Anthony
Arbitrator(s): Kerry C. Koep, Steven M. Bialick, Gregory John Peterson
Hearing Site: Minneapolis, MN
| | $150,410 |
