| 15-02268 | 04/12/2017 | Claimant(s): Kenneth Vanderlinde
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Antony Turbeville, David Locy, Edgar Thomas, Ehab Shalaby, Elvin Lopez, Kyong Kim, Philip Fatta, Brookstone Securities.
Respondent Lawyers(s): David W. Locy, Ehab Ahmed Shalaby, Elvin J. Lopez, Joshua A. Katz, Kyong H. Kim, Marc L. Abramson
Arbitrator(s): Michael S. Jordan
Hearing Site: Minneapolis, MN
|  | $36,877 |
| 15-02744 | 03/22/2017 | Claimant(s): Bernard Revocable Living Trust
Claimant Lawyers(s): Mary Cate Cicero
Respondent(s): Cesar Rodriguez, David Allen, Michael Clements, Avenir Financial Group
Respondent Lawyers(s): Cesar Rodriguez, David Allen, Michael Todd Clements, Michael Clements, CCO
Arbitrator(s): Lawrence R. Commers, Michael Allen Meixner, Robert Meredith Altman-Segal
Hearing Site: Minneapolis, MN
| | $250,180 |
| 15-02805 | 03/21/2017 | Claimant(s): Melissa Nordick
Claimant Lawyers(s): Michael Hill
Respondent(s): Emergent Financial Group.
Respondent Lawyers(s): Randy J. Sparling
Arbitrator(s): Kevin D. Hofman, Gregory John Peterson, Michael Leary
Hearing Site: Minneapolis, MN
| | $0 |
| 16-02706 | 03/03/2017 | Claimant(s): KBS Capital Markets Group LLC
Claimant Lawyers(s): Eric S. Beane
Respondent(s): Jason Johnson
Respondent Lawyers(s): Elizabeth Ridley Gelderman
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
| | |
| 16-00441 | 02/10/2017 | Claimant(s): Mavis Kolman, Ronald O. Kolman
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Jonah Engler, Jonathan Sheklow, Thomas Herity, William Bradley, HFP Capital Markets LLC
Respondent Lawyers(s): Jonah Engler, Jonathan Michael Sheklow, Thomas Francis Herity, Thomas Herity, William Kevin Bradley
Arbitrator(s): Lawrence R. Commers
Hearing Site: Minneapolis, MN
| | $33,117 |
| 15-03309 | 01/18/2017 | Claimant(s): Laudine L. Ploetz, 1985 Trust
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ryan G. Fant
Arbitrator(s): Barry Goldman, Jeffrey W. Jacobs, Alain Frecon
Hearing Site: Minneapolis, MN
| | $0 |
| 15-03342 | 01/06/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Douglas Hyman
Respondent(s): Steven Kajala
Respondent Lawyers(s): Jesse H. Kibort
Arbitrator(s): Douglas Randall Blohm
Hearing Site: Minneapolis, MN
| | |
| 13-00092 | 12/19/2016 | Claimant(s): Brad Burns, B&B Sheet Metal & Roofing., R&B Management LLP
Claimant Lawyers(s): Stephen W. Hance
Respondent(s): Marcus Renslow, Major League Capital, United Securities Alliance.
Respondent Lawyers(s): Jeffrey Cannella, Marcus A. Renslow
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
| | Expungement |
| 13-02892 | 12/06/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Patrick G. King
Respondent(s): Christopher Johnson, Randall Johnson
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Robert E. Robertson, Emily B. Boote, Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | |
| 15-00401 | 12/06/2016 | Claimant(s): Julie Koch, Larry Koch, Koch Partners, L.P.
Claimant Lawyers(s): Jesse H Kibort
Respondent(s): UBS Financial Services Inc., Susan Blount
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Jeffrey W. Jacobs, Arthur Richard Tow, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $0 |
