| 14-02889 | 04/06/2016 | Claimant(s): Rodney Hell
Claimant Lawyers(s): Christian Sande
Respondent(s): Alan Luttman, Joni Spaeth, Michael Braddy, Roger Hubley, NetWorth Asset Management., Prospera Financial Services.
Respondent Lawyers(s): Christopher B. Trowbridge, Elizabeth P. Ridley, Jonathan M. Harris
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
|  | Expungement |
| 15-00338 | 03/24/2016 | Claimant(s): Alexander Barned
Claimant Lawyers(s): Michael A. Brockland
Respondent(s): Kevin Bachmann
Respondent Lawyers(s): Julie H. Firestone
Arbitrator(s): Gerald M. Gifford, Douglas G. Plank, Steven Eric Brandes
Hearing Site: Minneapolis, MN
| | |
| 15-02018 | 03/22/2016 | Claimant(s): Christopher Carlson
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Ronald W. Sannicandro
Arbitrator(s):
Hearing Site: Minneapolis, MN
| | $0 |
| 15-01909 | 03/18/2016 | Claimant(s): Jerome Grohovsky, Naomi Grohovsky, JPG & Associates.
Claimant Lawyers(s): Joshua Kons
Respondent(s): Sagepoint Financial., Next Financial Group.
Respondent Lawyers(s): Debra L. Weiss, Greg Curley
Arbitrator(s): Ray J. Grzebielski, Lavon C. Phillips, Jerome B. Simon
Hearing Site: Minneapolis, MN
| | Dismissed by Rule 12206 |
| 14-01238 | 01/26/2016 | Claimant(s): Beverly Houts, W. Houts, Geneva BCCX XI, Geneva BCCX XII
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Northland Securities.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Mark S. Gleason, Jonathan B. Gilbert, Jo Anne F. Lewellen
Hearing Site: Minneapolis, MN
| | Expungement |
| 12-02826 | 01/25/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Joshua Maddux
Respondent Lawyers(s): Joshua A. Maddux
Arbitrator(s): Jeffrey A. Schuh, Leo G. Stern, John M. James
Hearing Site: Minneapolis, MN
| | |
| 12-03961 | 01/25/2016 | Claimant(s): Joshua Maddux
Claimant Lawyers(s): Joshua Aaron Maddux
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kitoh Grey
Arbitrator(s):
Hearing Site: Minneapolis, MN
| | |
| 14-02873 | 01/11/2016 | Claimant(s): Arts and Humanities Foundation
Claimant Lawyers(s): John A. Umhoefer
Respondent(s): Daniel Steffes, Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Peter N. Thompson, Phillip I. Finkelstein, Michael A. DePompolo
Hearing Site: Minneapolis, MN
| | $0 |
| 13-03769 | 12/15/2015 | Claimant(s): Kenneth Alexon
Claimant Lawyers(s): Steven Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Brett W. Olander, Jo Anne F. Lewellen, Steven Eric Brandes
Hearing Site: Minneapolis, MN
| | Expungement |
| 13-02569 | 11/13/2015 | Claimant(s): Michelle Petersen
Claimant Lawyers(s): Brock J. Specht
Respondent(s): Allianz Life Financial Services
Respondent Lawyers(s): Jodie F. Weinstein
Arbitrator(s): Lawrence R. Commers, Robert Lee Nelson, Robert Drae Venters
Hearing Site: Minneapolis, MN
| | |
