| 11-02451 | 04/17/2013 | Claimant(s): KRI Investments Limited, KRI Investment Limited Partnership, Richard G & Kathleen Werner Limited Part
Claimant Lawyers(s): Richard Sacks
Respondent(s): Angelo Piciucco, Kelly Ullom, Sunset Financial Services.
Respondent Lawyers(s): John W. Shaw, Michael J. Steinlage
Arbitrator(s): Peter N. Thompson, Kathy A. Tatone
Hearing Site: Minneapolis, MN
|  | Expungement |
| 12-01128 | 04/03/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Rachael Carp
Respondent(s): Amy Notermann
Respondent Lawyers(s): Amy Notermann
Arbitrator(s): Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | |
| 10-01981 | 04/01/2013 | Claimant(s): Kristin Brown, Scott Haney
Claimant Lawyers(s): Samuel Tenenbaum
Respondent(s): Wells Fargo Investments, Kevin Shimota
Respondent Lawyers(s): Vanessa Hoffmann
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
| | Expungement |
| 12-03529 | 03/21/2013 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Brenda Aslyn
Respondent Lawyers(s): Brenda R. Aslyn
Arbitrator(s): Emily B. Boote
Hearing Site: Minneapolis, MN
| | |
| 12-01157 | 03/15/2013 | Claimant(s): David Forster, Sandra Forster
Claimant Lawyers(s): Christopher P. Parrington
Respondent(s): David Theis
Respondent Lawyers(s): David Alan Theis
Arbitrator(s): Joan L. Volz
Hearing Site: Minneapolis, MN
| | $290,000 |
| 10-05070 | 02/25/2013 | Claimant(s): Chad Wolsmann, Daniel Wood
Claimant Lawyers(s): Aaron R. Thom
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): John C. DeMoss, David F. Schmitz, Frank Edward Hermann
Hearing Site: Minneapolis, MN
| | |
| 12-00192 | 02/01/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance Inc.
Claimant Lawyers(s): Monica M. Littman
Respondent(s): Allen Chaves
Respondent Lawyers(s): Allen Wayne Chaves
Arbitrator(s): Douglas Randall Blohm
Hearing Site: Minneapolis, MN
| | |
| 11-01646 | 01/30/2013 | Claimant(s): Abby Vander Linden, Christopher Vander Linden, Donna Vander Linden, Leon Linden, Todd Linder Linden, Tricia Vander Linden
Claimant Lawyers(s): Fred Coats
Respondent(s): Billy Markve
Respondent Lawyers(s): Rodney K. Vincent
Arbitrator(s): James A. Lundberg, Lawrence R. Commers
Hearing Site: Minneapolis, MN
| | Expungement |
| 11-03436 | 01/28/2013 | Claimant(s): Kristin Farrell, Terence Farrell
Claimant Lawyers(s): Patrick S. Williams
Respondent(s): David Kinnear, UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn Dietrich Perreault
Arbitrator(s): Lawrence J. Welte, Joan L. Volz, Debra Jean Griebel
Hearing Site: Minneapolis, MN
| | Expungement |
| 11-04056 | 01/25/2013 | Claimant(s): Craig Gould
Claimant Lawyers(s): J. Jackson
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Emily B. Boote, Leo G. Stern, Kathleen Sweeney Tillotson
Hearing Site: Minneapolis, MN
| | |
