| 13-03278 | 11/13/2014 | Claimant(s): Patrick Kelly
Claimant Lawyers(s): James C. MacGillis
Respondent(s): Sagepoint Financial., American International Group., SAI Deferred Compensation Holdings.
Respondent Lawyers(s): Corporate Office, Gregory M. Curley
Arbitrator(s): Kevin D. Hofman, Jo Anne F. Lewellen, Kathleen Sweeney Tillotson
Hearing Site: Minneapolis, MN
| | |
| 13-00914 | 11/06/2014 | Claimant(s): Greene Holcomb & Fisher LLC
Claimant Lawyers(s): Beverly J Aho
Respondent(s): ATM Network.,
Respondent Lawyers(s): Bryan R. Battina
Arbitrator(s): Douglas G. Plank, Kathryn J. Hoy, Alain Frecon
Hearing Site: Minneapolis, MN
| | |
| 13-00955 | 10/29/2014 | Claimant(s): Lorraine Witzel, Ralph Witzel
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): American Portfolios Financial Serv.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Richard A. Mosman, Jeffrey W. Jacobs, Kathy A. Tatone
Hearing Site: Minneapolis, MN
|  | Expungement |
| 13-00830 | 10/17/2014 | Claimant(s): Thomas Mayberry
Claimant Lawyers(s): James S. McCarthy
Respondent(s): John Thomas Financial
Respondent Lawyers(s): Joseph Castellano
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
| | Stipulated Award |
| 12-01754 | 10/15/2014 | Claimant(s): Craig Jarvinen
Claimant Lawyers(s): JD Haas
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Kristina L. Carlson
Arbitrator(s): Craig A. Gordon, Grant D. Sanders, Mary Ellen McGinnis
Hearing Site: Minneapolis, MN
| | |
| 14-00253 | 10/09/2014 | Claimant(s): Philip Schouweiler
Claimant Lawyers(s): Ken D. Schueler
Respondent(s): N.I.S. Financial Services.
Respondent Lawyers(s): Larry W. Joye
Arbitrator(s): Kevin D. Hofman
Hearing Site: Minneapolis, MN
| | |
| 13-01997 | 09/25/2014 | Claimant(s): Brad Nord, Cheryl Nord, Nord Cos. Inc., Bradley S. Nord IRA
Claimant Lawyers(s): Brad Nord
Respondent(s): Anthony Bauer, Berthel, Fisher & Company Financial Serv, Prospera Financial Services.
Respondent Lawyers(s): Cory D. Olsen, Jeff I. Nicodemus
Arbitrator(s): Douglas J. Nesbit, Robert Lee Nelson, Steven Eric Brandes
Hearing Site: Minneapolis, MN
| | $0 |
| 13-02929 | 09/23/2014 | Claimant(s): James Kirk
Claimant Lawyers(s): Christopher P. Parrington
Respondent(s): Frank Mccarthy, Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Gerald M. Gifford, Emily B. Boote, Robert S. Burk
Hearing Site: Minneapolis, MN
| | |
| 13-02486 | 08/22/2014 | Claimant(s): Judith Frank, Lenore Vogt, Alfred A. Vogt Trust U/T/A Dated Feb 15
Claimant Lawyers(s): Jonathan M. Harris
Respondent(s): Darrel Amiot, Scott Syde
Respondent Lawyers(s): Darrell R. Amiot, Michael MacDonald
Arbitrator(s): Jack D. Elmquist, Kevin D. Hofman, Frank Abramson
Hearing Site: Minneapolis, MN
| | $0 |
| 13-03696 | 08/20/2014 | Claimant(s): Debra Malone IRA
Claimant Lawyers(s): T. John Kirk
Respondent(s): Securities America.
Respondent Lawyers(s): Joel Wertman
Arbitrator(s): Steven M. Bialick
Hearing Site: Minneapolis, MN
| | $11,496 |
