| 17-03018 | 08/07/2018 | Claimant(s): Sean McDermott
Claimant Lawyers(s): Armin Sarabi
Respondent(s): LPL Financial LLC, Securities America.
Respondent Lawyers(s): Christina M. Heller, Jon D. Kaplon
Arbitrator(s): Peter N. Thompson
Hearing Site: Minneapolis, MN
| | |
| 17-01897 | 08/06/2018 | Claimant(s): Dawn Gray
Claimant Lawyers(s): Dawn Gray
Respondent(s): Jason Exley, Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services
Respondent Lawyers(s): T.R. Bynum
Arbitrator(s): Gerald W. Hepp
Hearing Site: Minneapolis, MN
|  | Expungement |
| 17-02345 | 06/18/2018 | Claimant(s): Richard Walsh
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Trident Partners Ltd.
Respondent Lawyers(s): Eric J. Sussman
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
| | $16,778 |
| 16-01128 | 05/11/2018 | Claimant(s): Frank Mabley
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Robert Nash, Merrimac Corporate Securities.
Respondent Lawyers(s): Robert G. Nash, Stephen Pizzuti
Arbitrator(s): Kenneth O. Fossey, Frederick Ramos, David Steven Paull
Hearing Site: Minneapolis, MN
| | $151,762 |
| 17-02150 | 04/24/2018 | Claimant(s): Anthony Ferrara
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Larson Financial Securities
Respondent Lawyers(s): Steve Cervantes
Arbitrator(s): Alain Frecon
Hearing Site: Minneapolis, MN
| | |
| 17-02127 | 04/17/2018 | Claimant(s): Christopher Haist
Claimant Lawyers(s): Christopher Scott Haist
Respondent(s): Lincoln Financial Distributors.
Respondent Lawyers(s): Michael W. Arnold
Arbitrator(s): Jack D. Elmquist, Michael L. Weiner, Arthur Richard Tow
Hearing Site: Minneapolis, MN
| | |
| 17-00852 | 02/16/2018 | Claimant(s): Dennis Meyers
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Charles A. Palmer, Steven M. Bialick, Lindsay Mancini
Hearing Site: Minneapolis, MN
| | $116,160 |
| 17-00340 | 02/01/2018 | Claimant(s): Irrev Trust of Roger and Gladys Linder
Claimant Lawyers(s): Casey D Marshall
Respondent(s): Ameriprise Financial Services., Jerome Hill, John Gruber
Respondent Lawyers(s): Joyce Svoboda, Kim M. Ruckdaschel-Haley
Arbitrator(s): Frederick Ramos, Steven M. Bialick, Matthew E. Piermantier
Hearing Site: Minneapolis, MN
| | Expungement |
| 17-01661 | 01/31/2018 | Claimant(s): Stephen Koessl
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Harbour Investments.
Respondent Lawyers(s): David Genelly
Arbitrator(s): Frederick Ramos
Hearing Site: Minneapolis, MN
| | |
| 16-00295 | 12/29/2017 | Claimant(s): Feltl & Company
Claimant Lawyers(s): Steven Phillips
Respondent(s): Mark Fautsch
Respondent Lawyers(s): Jonathan P. Norrie
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
| | |
