| 13-00202 | 08/07/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Yana Kromo
Respondent(s): Denise Thornburgh
Respondent Lawyers(s): Denise L. Thornburgh
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
| | |
| 11-03215 | 07/26/2013 | Claimant(s): Citizens Community Federal
Claimant Lawyers(s): John J Schirger
Respondent(s): Tamara McGovern, Shay Financial Services.
Respondent Lawyers(s): Travis J. Quick
Arbitrator(s): Terrence J. Fleming, Joan L. Volz, Frank Abramson
Hearing Site: Minneapolis, MN
|  | Stipulated Award and Expungement |
| 13-00176 | 07/17/2013 | Claimant(s): Darcy Christopherson
Claimant Lawyers(s): Darcy L. Christopherson
Respondent(s): VFinance Investments
Respondent Lawyers(s): Jay M. Israel
Arbitrator(s): Andrew R. Dick
Hearing Site: Minneapolis, MN
| | $0 |
| 12-02792 | 06/10/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Gregory Paine
Respondent Lawyers(s): Jonathan M. Harris
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
| | |
| 12-04183 | 06/07/2013 | Claimant(s): Carol Swearingen, Darrell Swearingen
Claimant Lawyers(s): Joshua Kons
Respondent(s): Carl Vandenburg
Respondent Lawyers(s): Carl Andrew Vandenburg
Arbitrator(s): Christine C. DeMoss
Hearing Site: Minneapolis, MN
| | $25,300 |
| 12-01219 | 06/03/2013 | Claimant(s): Marilee Swanson, Marilee D. Swanson Roth IRA, Marilee D. Swanson Trust
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Douglas J. Nesbit, Brett W. Olander, Jerome B. Simon
Hearing Site: Minneapolis, MN
| | $0 |
| 12-03748 | 05/28/2013 | Claimant(s): Frederick Kaiser
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Phyllis Karasov
Hearing Site: Minneapolis, MN
| | $600 |
| 10-05100 | 05/10/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Joselito Balintona
Respondent Lawyers(s): Joselito Balintona
Arbitrator(s): John P. Mazzitelli
Hearing Site: Minneapolis, MN
| | |
| 12-03585 | 05/07/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): David Anderson
Respondent Lawyers(s): David Steven Anderson
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
| | |
| 11-03704 | 05/06/2013 | Claimant(s): Eugene Opatz, Ruth Opatz
Claimant Lawyers(s): Donald R. McNeil
Respondent(s): David Theis
Respondent Lawyers(s): Davis Alan Theis
Arbitrator(s): Peter N. Thompson, Brett W. Olander, Robert S. Burk
Hearing Site: Minneapolis, MN
| | $1,174,350 |
