| 14-02378 | 05/13/2015 | Claimant(s): Joseph & Sharon Nielsen
Claimant Lawyers(s): Joseph A. Nielsen
Respondent(s): Sogotrade.
Respondent Lawyers(s): Robert J. Benbenek
Arbitrator(s): Julie A. Hennen, Donald Ray McNeil, Leo G. Stern
Hearing Site: Minneapolis, MN
|  | $0 |
| 14-00499 | 04/02/2015 | Claimant(s): Benjamin F. Edwards & Company.
Claimant Lawyers(s): Joseph W. Anthony
Respondent(s): Janel Goff
Respondent Lawyers(s): Donald R. McNeil
Arbitrator(s): Bruce J. Nerland, Brett W. Olander, Leo G. Stern
Hearing Site: Minneapolis, MN
| | |
| 14-00952 | 04/02/2015 | Claimant(s): Anita Dial, Anita Dial IRA
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Debra L. Weiss
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
| | $0 |
| 14-03719 | 02/23/2015 | Claimant(s): James Welch, Janet Welch
Claimant Lawyers(s): Lars K. Soreide
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Thomas J. Gmeinder
Hearing Site: Minneapolis, MN
| | $275,077 |
| 13-00953 | 01/26/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Robert Brooks
Respondent Lawyers(s): Robert Jay Brooks
Arbitrator(s): Lawrence R. Commers, Julie A. Hennen, Frederick Ramos
Hearing Site: Minneapolis, MN
| | |
| 14-00500 | 01/21/2015 | Claimant(s): Stephen Washburn, Theresa Washburn
Claimant Lawyers(s): Brian L. McMahon
Respondent(s): Workman Securities Corporation
Respondent Lawyers(s): Paul J. Maxa
Arbitrator(s): Douglas G. Plank
Hearing Site: Minneapolis, MN
| | $100,000 |
| 14-01098 | 01/13/2015 | Claimant(s): CliftonLarsonAllen Wealth Advisors
Claimant Lawyers(s): David P. Jendrzejek
Respondent(s): Jean Wolfe
Respondent Lawyers(s): Donald R. McNeil
Arbitrator(s): Lawrence R. Commers, Terrence J. Fleming, Thomas J. Gmeinder
Hearing Site: Minneapolis, MN
| | |
| 14-01717 | 12/19/2014 | Claimant(s): Arlene Tesch, Kathleen Johnson
Claimant Lawyers(s): T. John Kirk
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): Jodee Brubaker-Rager
Arbitrator(s): Jack D. Elmquist
Hearing Site: Minneapolis, MN
| | Dismissed by Rule 12206 |
| 13-03590 | 11/28/2014 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Brian Murphy
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Kathy A. Tatone, Robert D. Lawson, Mary Ellen McGinnis
Hearing Site: Minneapolis, MN
| | |
| 14-00142 | 11/17/2014 | Claimant(s): James Pietrowski
Claimant Lawyers(s): Scott D. Hirsch
Respondent(s): Berthel, Fisher & Company Financial
Respondent Lawyers(s): Cory D. Olson
Arbitrator(s): Brett W. Olander, Robert Lee Nelson, Susan M. Sanger
Hearing Site: Minneapolis, MN
| | $0 |
