| 10-02070 | 03/21/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Edna Jackson
Respondent Lawyers(s): Daniel D. Hill
Arbitrator(s): Leon Fox
Hearing Site: Minneapolis, MN
| | |
| 10-04480 | 03/15/2011 | Claimant(s): Jerome Hurt, Theresa Hurt
Claimant Lawyers(s): Sarah Mae Harless
Respondent(s): Brian Simmons, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Robert S. Burk
Hearing Site: Minneapolis, MN
|  | $425 |
| 09-01670 | 03/10/2011 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Julie H. Firestone
Respondent(s): Lance Morque
Respondent Lawyers(s): Bruce N. Crawford
Arbitrator(s): Roger D. Johnson, Craig A. Gordon, Laura Kate Wennik
Hearing Site: Minneapolis, MN
| | |
| 09-00830 | 03/10/2011 | Claimant(s): Dolores A. Smith Insurance & Associates
Claimant Lawyers(s): Brent A. Lorentz
Respondent(s): Kenneth Marchiol, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): J. Jackson, Jeffrey B. Kelvin
Arbitrator(s): Douglas J. Nesbit, Arlen G. Restad, Susan M. Barnes
Hearing Site: Minneapolis, MN
| | $0 |
| 09-06559 | 03/07/2011 | Claimant(s): Allyn Husman, JoAnn Husman
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Ralph Schneider, Ronald Kerher, Okoboji Financial Services.
Respondent Lawyers(s): President of the Company, Ralph R. Schneider, William D. Nelson
Arbitrator(s): Kevin D. Hofman, Susan M. Sanger, Wayne A. Robinson
Hearing Site: Minneapolis, MN
| | $299,400 |
| 09-01871 | 02/11/2011 | Claimant(s): Duane Stolpe, Sheila Stolpe, Stolpe Management, Duane Stolpe IRA, Stolpe Family Limited Partnership, Stolpe Charitable Remainder Unitrust
Claimant Lawyers(s): Michael Sutton MacDonald
Respondent(s): Anthony Salino, Lynn Schultz, Ron Ison, Roy Cohen, Mercer Asset Management., Mercer Capital Ltd., The Estate of Leonard Cleophas Demers
Respondent Lawyers(s): Brian Reis, Kelly W. Hoversten, The Company President
Arbitrator(s): John C. DeMoss, Grant D. Sanders, Robert D. Lawson
Hearing Site: Minneapolis, MN
| | $786,429 |
| 08-04462 | 01/20/2011 | Claimant(s): Alphonse Matt, Alphonse J.Matt,Jr. (Bene) IRA Rollover
Claimant Lawyers(s): Thomas F. Shine
Respondent(s): Kimon Peter Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Audette Paul Morales
Arbitrator(s): Lawrence J. Welte, James A. Lundberg, Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | Stipulated Award and Expungement |
| 09-04484 | 12/14/2010 | Claimant(s): ASA Tax Advantage Relative Value Fund
Claimant Lawyers(s): Geoffrey P. Jarpe
Respondent(s): National Financial Services LLC
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Bruce J. Nerland, Douglas J. Nesbit, Peter N. Thompson
Hearing Site: Minneapolis, MN
| | $0 |
| 10-02615 | 12/07/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joseph D. MacLellan
Respondent(s): Daniel Miller
Respondent Lawyers(s): Daniel Francis Miller
Arbitrator(s): Thomas J. Gmeinder
Hearing Site: Minneapolis, MN
| | |
| 09-05480 | 12/07/2010 | Claimant(s): Gloria Erkkila, Russell Erkkila
Claimant Lawyers(s): Daniel D. Hill
Respondent(s): Wells Fargo Advisors, Timothy Baltzer
Respondent Lawyers(s): J. Jackson
Arbitrator(s): Lawrence J. Welte, Joan L. Volz, Robert S. Burk
Hearing Site: Minneapolis, MN
| | $0 |
