| 10-04618 | 01/23/2012 | Claimant(s): Robert Gloss
Claimant Lawyers(s): Michael F Marlow
Respondent(s): Wells Fargo Investments, James Beare
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): William B. Ross, Lee T. Beske, Frederick Ramos
Hearing Site: Minneapolis, MN
|  | Expungement |
| 11-03735 | 01/23/2012 | Claimant(s): Mark Zweber
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Prestige Financial Center.
Respondent Lawyers(s): Larry Kirshbaum
Arbitrator(s): Duane W. Krohnke
Hearing Site: Minneapolis, MN
| | $130,000 |
| 10-05705 | 01/13/2012 | Claimant(s): Paul Covill
Claimant Lawyers(s): Paul W. Covill
Respondent(s): James Smith
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Kathy A. Tatone
Hearing Site: Minneapolis, MN
| | Expungement |
| 11-02861 | 12/22/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Peter Ryan
Respondent Lawyers(s): Peter Remington Ryan
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
| | |
| 11-00560 | 12/22/2011 | Claimant(s): John T. Golle
Claimant Lawyers(s): John T Golle
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Douglas G. Plank, Arlen G. Restad, Debra Jean Griebel
Hearing Site: Minneapolis, MN
| | $375 |
| 11-00118 | 12/07/2011 | Claimant(s): John Warnken
Claimant Lawyers(s): Robert B. Bauer
Respondent(s): Darrel Amiot
Respondent Lawyers(s): Darrel R. Amiot
Arbitrator(s): Brett W. Olander, Steven M. Bialick, Mary Louise Hilfiker
Hearing Site: Minneapolis, MN
| | $100,000 |
| 09-04700 | 10/28/2011 | Claimant(s): Douglas Pippert, Kira Pippert, Kira Ann Pippert Revocable Trust
Claimant Lawyers(s): Adam A. Gillette, Thomas E. Jamison
Respondent(s): Michael Blake, Olympus Financial Advisors.
Respondent Lawyers(s): Roger W. Hall
Arbitrator(s): Edward C. Oliver, Emily F. Seesel, Mark S. Gleason
Hearing Site: Minneapolis, MN
| | Stipulated Award |
| 11-01367 | 09/27/2011 | Claimant(s): Divine Swine Catering.
Claimant Lawyers(s): Dale Vaillancourt
Respondent(s): Donald Rosen, Waddell and Reed
Respondent Lawyers(s): Carrie Bechtold
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
| | $213 |
| 10-02338 | 09/02/2011 | Claimant(s): Stephen Rowland
Claimant Lawyers(s): Christopher W. Madel
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bryan I. Reyhani
Arbitrator(s): Edward C. Oliver, Joan L. Volz, JD Haas
Hearing Site: Minneapolis, MN
| | $50,000 |
| 11-01130 | 08/26/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Matthew Schurter
Respondent(s): Jon Reyerson
Respondent Lawyers(s): Clayton D. Halunen
Arbitrator(s): Thomas J. Gmeinder
Hearing Site: Minneapolis, MN
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