| 12-00259 | 01/11/2013 | Claimant(s): Dorothy Sisam, Edwin Sisam, USA Hawaii Self Storage 1
Claimant Lawyers(s): J. Owen Murrin
Respondent(s): Workman Securities Corporation
Respondent Lawyers(s): Christopher P. Parrington
Arbitrator(s): Emily B. Boote, Debra Jean Griebel, Robert Lee Nelson
Hearing Site: Minneapolis, MN
|  | $300,000 |
| 11-01696 | 01/04/2013 | Claimant(s): Theodore Pavlovich
Claimant Lawyers(s): Theodore Adam Pavlovich
Respondent(s): Mark Mekler, Raymond, James & Associates.
Respondent Lawyers(s): Marko J. Mrkonich
Arbitrator(s): Douglas Randall Blohm, John W. MacKimm, Jo Anne F. Lewellen
Hearing Site: Minneapolis, MN
| | |
| 12-00040 | 01/04/2013 | Claimant(s): Paul Alegi
Claimant Lawyers(s): Gregory R. Piche
Respondent(s): Lincoln Financial Distributors.
Respondent Lawyers(s): Nikole L. Canute
Arbitrator(s): Andrew R. Dick, Jeffrey A. Schuh, David F. Schmitz
Hearing Site: Minneapolis, MN
| | |
| 12-01238 | 12/26/2012 | Claimant(s): Donald Larson
Claimant Lawyers(s): Christopher Parrington
Respondent(s): Craig Meuer, Grant Lindaman, Financial Advisers Of America
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): James A. Lundberg, F. Chet Taylor, Joan L. Volz
Hearing Site: Minneapolis, MN
| | Stipulated Award |
| 11-01872 | 12/14/2012 | Claimant(s): Barbara Istas, James Istas
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise Johnson
Arbitrator(s): Andrew R. Dick, Peter N. Thompson, Brett W. Olander
Hearing Site: Minneapolis, MN
| | Expungement |
| 11-04764 | 11/20/2012 | Claimant(s): Kamyar Farahan
Claimant Lawyers(s): Kamyar Farahan
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Andrew R. Dick
Hearing Site: Minneapolis, MN
| | $0 |
| 11-02507 | 10/29/2012 | Claimant(s): Brian Williams
Claimant Lawyers(s): Peter Pattakos
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): John C. DeMoss
Hearing Site: Minneapolis, MN
| | $37,500 |
| 12-00857 | 10/12/2012 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Scott T. Earl
Respondent(s): Peter Ryan
Respondent Lawyers(s): Peter Remington Ryan
Arbitrator(s): Emily B. Boote
Hearing Site: Minneapolis, MN
| | |
| 12-00014 | 10/05/2012 | Claimant(s): Derek Cherne, Randall Green
Claimant Lawyers(s): Tracey Salmon-Smith
Respondent(s): David Domaas, John Smith, Brook West Profit Sharing Plan
Respondent Lawyers(s): Brook West Profit Sharing Plan, David Domaas, John Smith
Arbitrator(s): Lawrence J. Welte, Andrew R. Dick, Alain Frecon
Hearing Site: Minneapolis, MN
| | Expungement |
| 12-00419 | 09/25/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan S. Smith
Respondent(s): George Anastos
Respondent Lawyers(s): George J. Anastos
Arbitrator(s): Mark S. Gleason
Hearing Site: Minneapolis, MN
| | |
