| 12-03331 | 08/18/2014 | Claimant(s): Alice Haverstock, Diane Nelson, Judd Broyer, Marian Broyer, Broson Investment
Claimant Lawyers(s): Daniel B. Lipson
Respondent(s): Peter Voldness, Emergent Financial Group.
Respondent Lawyers(s): Randy J. Sparling
Arbitrator(s): Lawrence R. Commers, Emily B. Boote, John B. Orenstein
Hearing Site: Minneapolis, MN
|  | $0 |
| 12-01302 | 07/25/2014 | Claimant(s): Jack Dickinson, Dickinson Eagle Ridge, Dickinson East 21st Street
Claimant Lawyers(s): Alan L. Frank
Respondent(s): Bryan Mick, David Theis, Michael Dougherty
Respondent Lawyers(s): David Alan Theis, Jason S. Feinstein, Steven J. Rotunno
Arbitrator(s): James A. Lundberg, Paul J. Hennen, Phyllis Karasov
Hearing Site: Minneapolis, MN
| | Expungement |
| 13-02914 | 05/23/2014 | Claimant(s): John Van Ingen
Claimant Lawyers(s): John Van Ingen
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
| | $25 |
| 13-00269 | 05/19/2014 | Claimant(s): James D. Hera Revocable Trust
Claimant Lawyers(s): Michael MacDonald
Respondent(s): Michael Kinney
Respondent Lawyers(s): Michael Thomas Kinney
Arbitrator(s): Richard A. Mosman, Jack D. Elmquist, Brett W. Olander
Hearing Site: Minneapolis, MN
| | $75,000 |
| 13-00230 | 05/15/2014 | Claimant(s): Irene Theis
Claimant Lawyers(s): Gary Menzer
Respondent(s): Invest Financial Corporation
Respondent Lawyers(s): John Rock
Arbitrator(s): Frederick Ramos
Hearing Site: Minneapolis, MN
| | Expungement |
| 13-02360 | 05/13/2014 | Claimant(s): Carroll Martini, Mildred Martini, Carroll Martini IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Proequities.
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Douglas J. Nesbit, Kevin D. Hofman, Susan M. Sanger
Hearing Site: Minneapolis, MN
| | $0 |
| 12-04090 | 03/25/2014 | Claimant(s): Johnson Family Trust
Claimant Lawyers(s): John Rock
Respondent(s): Joel Carlson
Respondent Lawyers(s): Joel William Carlson
Arbitrator(s): Thomas J. Gmeinder
Hearing Site: Minneapolis, MN
| | $204,000 |
| 12-02075 | 03/06/2014 | Claimant(s): Katherine Williams
Claimant Lawyers(s): Christopher P. Parrington
Respondent(s): Daniel Rickett
Respondent Lawyers(s): Donald R. McNeil
Arbitrator(s): F. Chet Taylor, Andrew R. Dick, Phyllis Karasov
Hearing Site: Minneapolis, MN
| | |
| 12-01626 | 02/12/2014 | Claimant(s): Frances Moening, Ronald Moening
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): James H. Colburn, Kathy A. Tatone, Steven M. Bialick
Hearing Site: Minneapolis, MN
| | Expungement |
| 13-01412 | 02/11/2014 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Sean Kirby
Respondent(s): Lauren Ganz
Respondent Lawyers(s): Lauren Gail Ganz
Arbitrator(s): Andrew R. Dick
Hearing Site: Minneapolis, MN
| | |
