| 15-01910 | 11/09/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): William M. Getzoff
Hearing Site: Minneapolis, MN
| | |
| 14-00383 | 09/22/2015 | Claimant(s): Donna Cramer, John Cramer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Terry F. Peppard, Kevin D. Hofman, Mark S. Gleason
Hearing Site: Minneapolis, MN
|  | $58,563 |
| 13-03534 | 09/02/2015 | Claimant(s): Constance P. Kolberg, IRRA, Bruce A. Kolberg & Constance P. Kolberg
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): James H. Colburn, Arlen G. Restad, Lavon C. Phillips
Hearing Site: Minneapolis, MN
| | Expungement |
| 14-01718 | 08/21/2015 | Claimant(s): George Gartner
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Rockwell Global Capital LLC
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Kevin D. Hofman
Hearing Site: Minneapolis, MN
| | Dismissed by Rule 12206 |
| 14-01009 | 08/07/2015 | Claimant(s): Joan Christenson, Joan M. Christenson Revocable Trust
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Paul Schmidt, SII Investments.
Respondent Lawyers(s): John Rock
Arbitrator(s): Kevin D. Hofman, David F. Schmitz, Wayne A. Robinson
Hearing Site: Minneapolis, MN
| | $72,048 |
| 14-01955 | 07/17/2015 | Claimant(s): Thomas Ottman
Claimant Lawyers(s): Jonathan M. Harris
Respondent(s): John Feltl, Mary Feltl, Feltl & Company
Respondent Lawyers(s): Matthew T. Boos, Thomas F. Steichen
Arbitrator(s): Joan L. Volz, John W. MacKimm, Frank Abramson
Hearing Site: Minneapolis, MN
| | |
| 14-01307 | 07/16/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
| | |
| 14-00954 | 07/01/2015 | Claimant(s): Athrea Hedrick, Grace Brown, Estate of Sidney E. Berquam, Sidney E. Berquam Revocable Trust
Claimant Lawyers(s): Steven M. Phillips
Respondent(s): Mark Holt
Respondent Lawyers(s): Mark D. Holt
Arbitrator(s): Richard A. Mosman, Thomas J. Gmeinder, Lavon C. Phillips
Hearing Site: Minneapolis, MN
| | $497,190 |
| 13-03542 | 06/16/2015 | Claimant(s): Steve Hawley and Susan M. Hawley
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Douglas J. Nesbit, Jeffrey A. Schuh, Grant D. Sanders
Hearing Site: Minneapolis, MN
| | Expungement |
| 14-03846 | 06/05/2015 | Claimant(s): Charlton Coroni
Claimant Lawyers(s): Charlton Coroni
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Phyllis Karasov
Hearing Site: Minneapolis, MN
| | $425 |
