| 11-04057 | 02/07/2014 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph Keenan
Respondent(s): Avalon Partners.
Respondent Lawyers(s): Beatrice Cheah
Arbitrator(s): Renan I. Sugarman, Dennis Roger Ahlm, Laura Kate Wennik
Hearing Site: Minneapolis, MN
| | |
| 12-02901 | 01/10/2014 | Claimant(s): Louisa Alben IRA, Louisa Alben Living Trust
Claimant Lawyers(s): Gary Menzer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Brad Jacobs
Arbitrator(s): Jack D. Elmquist, Peter N. Thompson, Joan L. Volz
Hearing Site: Minneapolis, MN
|  | Expungement |
| 11-02400 | 12/23/2013 | Claimant(s): Bruce Carson
Claimant Lawyers(s): Christopher Parrington
Respondent(s): Charles Childs, Joshua Suter, Lynn Koczera, Blue Moon Financial, Nomilis
Respondent Lawyers(s): Charles E. Childs, Joshua Kweller, Lynn C. Koczera, Robert Lemon
Arbitrator(s): Kenneth O. Fossey, Emily B. Boote, Steven Eric Brandes
Hearing Site: Minneapolis, MN
| | $290,375 |
| 12-00257 | 12/16/2013 | Claimant(s): Donald Vandendriessche
Claimant Lawyers(s): Donald Vandendriessche
Respondent(s): Carmine Sarnelli, David Dambra, Rockwell Global Capital LLC
Respondent Lawyers(s): David J. Dambra, Robert M. Bursky
Arbitrator(s): Emily B. Boote, Donald Ray McNeil, Kathleen Sweeney Tillotson
Hearing Site: Minneapolis, MN
| | $0 |
| 12-00181 | 12/10/2013 | Claimant(s): Pruco Securities., The Prudential Insurance Co. of America
Claimant Lawyers(s): Lorie Almon
Respondent(s): Terry Sandvold
Respondent Lawyers(s): Thomas Jamison
Arbitrator(s): Daniel D. Hill
Hearing Site: Minneapolis, MN
| | |
| 12-03507 | 11/26/2013 | Claimant(s): US. Bancorp Investments.
Claimant Lawyers(s): Rena Andoh
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Richard A. Mosman, Kenneth O. Fossey, Kathy A. Tatone
Hearing Site: Minneapolis, MN
| | |
| 12-00764 | 11/20/2013 | Claimant(s): Ronnie Erickson, Stacy Erickson, Ronnie & Stacy Erickson Charitable Trust, Ronnie L. Erickson Trust, Stacy L. Erickson Trust
Claimant Lawyers(s): Kristina L. Carlson
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): Robert S. Burk, David A. Peterson, Susan M. Sanger
Hearing Site: Minneapolis, MN
| | $6,157,880 |
| 13-01062 | 10/29/2013 | Claimant(s): James Clifford, John Clifford, Robert Clifford
Claimant Lawyers(s): Bruce Sanders
Respondent(s): Daniel Bakke, Edward Jones
Respondent Lawyers(s): Troy Groat
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
| | $425 |
| 13-01049 | 09/27/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ken S. Massey
Respondent(s): Edward Grondahl
Respondent Lawyers(s): Edward Eric Grondahl
Arbitrator(s): Lavon C. Phillips
Hearing Site: Minneapolis, MN
| | |
| 12-04315 | 08/12/2013 | Claimant(s): Christine Cooperman, Clyde Cooperman, Paul Seyb, Wendy Seyb
Claimant Lawyers(s): Kristian P. Kyros
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Kevin D. Hofman, Jeffrey A. Schuh, Brett W. Olander
Hearing Site: Minneapolis, MN
| | Expungement |
