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FINRA Awards for Minneapolis, MN

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Displaying 131-140 out of 346 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0124812/12/2017Claimant(s): Ronald Drake
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Anthony Salamone, Bruce Guarino, Glen Stifelman, Kenneth Severinsen, Kevin Sheehan Jr, Rockwell Global Capital LLC
Respondent Lawyers(s): Aegis J. Frumento, Anthony Patrick Salamone, Kenneth Lee Severinsen, Kevin Michael Sheehan Jr, Robert M. Bursky
Arbitrator(s): Grant D. Sanders
Hearing Site: Minneapolis, MN
Checkmark Icon$0
17-0145910/24/2017Claimant(s): Alan DeFlorio
Claimant Lawyers(s): Alan A. DeFlorio
Respondent(s): James Flynn
Respondent Lawyers(s): James Travis Flynn
Arbitrator(s): Steven M. Bialick
Hearing Site: Minneapolis, MN
Checkmark Icon$0
16-0358209/28/2017Claimant(s): Mark Heymans, Estate of Donn Burleigh, Estate of Olivia Schulz
Claimant Lawyers(s): Stacy P. Slaughter
Respondent(s): Mark Holt
Respondent Lawyers(s): Mark David Holt - Register No. 17865-041
Arbitrator(s): Lawrence J. Welte, Steven M. Bialick, Steven Eric Brandes
Hearing Site: Minneapolis, MN
Checkmark Icon$0
15-0068009/08/2017Claimant(s): Peter Izmirian, Sandra Ingwaldson
Claimant Lawyers(s): Jonathan M. Harris
Respondent(s): Mark Holt
Respondent Lawyers(s): Mark David Holt
Arbitrator(s): Thomas J. Gmeinder, Kerry C. Koep
Hearing Site: Minneapolis, MN
Checkmark Icon$477,650
16-0148909/07/2017Claimant(s): Larry and Susan Zilverberg
Claimant Lawyers(s): Scott R. Carlson
Respondent(s): Northland Securities.
Respondent Lawyers(s): Joseph M. Windler
Arbitrator(s): Peter N. Thompson, Joseph Darwin Kenyon, Julie Fleming-Wolfe
Hearing Site: Minneapolis, MN
Checkmark IconExpungement
16-0045008/31/2017Claimant(s): Prospera Financial Services.
Claimant Lawyers(s): Niel Prosser
Respondent(s): Alan Luttman
Respondent Lawyers(s): Donald R. McNeil
Arbitrator(s): David Evans Rosedahl, Kevin D. Hofman, Frederick Ramos
Hearing Site: Minneapolis, MN
16-0315908/25/2017Claimant(s): Jeffrey Thoele
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Next Financial Group., The O.N. Equity Sales Company, Walnut Street Securities.
Respondent Lawyers(s): Jeremy Carr, John Unger, Mark E. Elsener
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
16-0308408/17/2017Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Bruce Lewitas
Respondent(s): Lisa Schesso
Respondent Lawyers(s): Lisa Kay Schesso
Arbitrator(s): William M. Getzoff
Hearing Site: Minneapolis, MN
15-0253206/23/2017Claimant(s): Audrey Woznicki, Clark Woznicki
Claimant Lawyers(s): David Liebrader
Respondent(s): Levi Lindemann
Respondent Lawyers(s): Levi David Lindemann
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
Checkmark Icon$190,300
15-0240305/18/2017Claimant(s): Paul Lind
Claimant Lawyers(s): Joseph S. Fogel
Respondent(s): Andrew Garrett Inc.
Respondent Lawyers(s): Barry M. Bordetsky
Arbitrator(s): Thomas J. Gmeinder, Kerry C. Koep, Michael Sutton MacDonald
Hearing Site: Minneapolis, MN
Checkmark Icon$0

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