| 12-00200 | 08/16/2012 | Claimant(s): Investment Centers of America.
Claimant Lawyers(s): Scott A. Chernich
Respondent(s): Monica Liska
Respondent Lawyers(s): Monica Marie Liska
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
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| 10-04681 | 08/08/2012 | Claimant(s): William Kiefer
Claimant Lawyers(s): William Kiefer
Respondent(s): Fintegra
Respondent Lawyers(s): Sandra Smalley-Fleming
Arbitrator(s): Gerald M. Gifford, Brett W. Olander, Leo G. Stern
Hearing Site: Minneapolis, MN
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| 11-02661 | 07/13/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): John Ekman
Respondent Lawyers(s): Robert Zeglovitch
Arbitrator(s): Andrew R. Dick
Hearing Site: Minneapolis, MN
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| 11-03514 | 07/06/2012 | Claimant(s): Randy Lacombe
Claimant Lawyers(s): John A. Nelson
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): John Stenson
Arbitrator(s): Phyllis Karasov
Hearing Site: Minneapolis, MN
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| 11-00576 | 07/06/2012 | Claimant(s): Janet Bowman, Geneva OSWX I, Janet Furman Bowman Trust
Claimant Lawyers(s): Dan J. Suppalla
Respondent(s): Richard Murphy, Thomas Biesheuvel, Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Stephen J. Holtman
Arbitrator(s): Douglas G. Plank, Susan M. Sanger, Todd W. Schnell
Hearing Site: Minneapolis, MN
|  | $0 |
| 10-01454 | 05/22/2012 | Claimant(s): Sharon Palas
Claimant Lawyers(s): Chad A. Snyder
Respondent(s): Bruce Lick, Wells Fargo Advisors, David Cooper
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Kathryn J. Hoy, Kathy A. Tatone, Frank Abramson
Hearing Site: Minneapolis, MN
| | $0 |
| 11-00703 | 04/30/2012 | Claimant(s): The Estate of Beverly Erickson
Claimant Lawyers(s): Stephen Patrick Doyle
Respondent(s): Oppenheimer & Co.., Robert Long
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Joan L. Volz, Debra Jean Griebel, John D. Campion
Hearing Site: Minneapolis, MN
| | $100,000 |
| 10-02754 | 04/09/2012 | Claimant(s): Craig Larmon, Steven Badeau, Geneva BCCX XVIII, Geneva FTCX I, Geneva OSWX XII, Geneva OSWX XXII, Geneva OSWX XXXVI
Claimant Lawyers(s): Margaret A. Goetze
Respondent(s): Dan Werry, Daniel Wegmann, Eric Swenson, Frederick Fisher, Ameriprise Financial Services., Leslie Smith, Richard Murphy, Ronald Brendengen, Shelley Davenport, Thomas Berthel, 1031 & TIC Investments, Berthel, Fisher & Co. Financial Services, Omni Brokerage.
Respondent Lawyers(s): Britta Schnoor Loftus, Robert T. Matsuishi, Stephen J. Holtman
Arbitrator(s): Andrew R. Dick, Grant D. Sanders, Morton H. Greenberg
Hearing Site: Minneapolis, MN
| | $0 |
| 09-01518 | 03/13/2012 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Soukkay Keomysy
Respondent Lawyers(s): Adam A. Gillette
Arbitrator(s): Emily F. Seesel, Jeffrey W. Jacobs, John R. Lepley
Hearing Site: Minneapolis, MN
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| 10-04299 | 02/17/2012 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Carrie Bechtold
Respondent(s): Leslie Ingram Miller
Respondent Lawyers(s): Leslie Ann Ingram Miller
Arbitrator(s): Douglas Randall Blohm, Kathryn J. Hoy, Mark S. Gleason
Hearing Site: Minneapolis, MN
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