| 21-02186 | 12/12/2022 | Claimant(s): Ronald Gagnon
Claimant Lawyers(s): Robert Kerrigan
Respondent(s): Worden Capital Management LLC, Jamie Worden, Michael Rosalia
Respondent Lawyers(s): Bruce Lewitas, Jamie John Worden, Michael Richard Rosalia
Arbitrator(s): LaVon C. Phillips, Grant D. Sanders, Frank Edward Hermann
Hearing Site: Minneapolis, MN
|  | $130,000 |
| 21-02475 | 10/19/2022 | Claimant(s): Devon Grandbois
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Edward Jones
Respondent Lawyers(s): Michael J. Steinlage
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Minneapolis, MN
| | Expungement |
| 17-00464 | 10/17/2022 | Claimant(s): Richard Lanpher
Claimant Lawyers(s): Michael C. Mahoney
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kimberley E. Lunetta
Arbitrator(s): Robert Benbow Phillips, Leonard Arthur Nelson, Richard Beens
Hearing Site: Minneapolis, MN
| | |
| 22-00239 | 09/29/2022 | Claimant(s): Kevin Mann
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Minneapolis, MN
| | |
| 20-01721 | 09/22/2022 | Claimant(s): John Ewine
Claimant Lawyers(s): David W. Porteous
Respondent(s): John Orlando, Richard Rappaport, Newport Coast Securities., Westpark Capital.
Respondent Lawyers(s): Kevin Lee, Nancy L. Hendrickson, Todd A. Zuckerbrod
Arbitrator(s): Martin D. Munic, Thomas J. Gmeinder, Steven M. Bialick
Hearing Site: Minneapolis, MN
| | Expungement |
| 21-02913 | 08/22/2022 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Theodore R Bynum
Respondent(s): Paul Vizanko
Respondent Lawyers(s): Paul Warren Vizanko
Arbitrator(s): Tracy L. Allen
Hearing Site: Minneapolis, MN
| | |
| 21-02467 | 08/19/2022 | Claimant(s): Paul Nash
Claimant Lawyers(s): Paul Nash
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Barry Goldman
Hearing Site: Minneapolis, MN
| | $0 |
| 21-01248 | 08/18/2022 | Claimant(s): Julie Erickson
Claimant Lawyers(s): Terrence J. Fleming
Respondent(s): Jed Bandes, Peter Taurinskas, Mutual Trust Company of America Securiti
Respondent Lawyers(s): Robert Persante
Arbitrator(s): Tracy L. Allen, William Benjamin Gavzy, Jonathan Bruce Kvasnik
Hearing Site: Minneapolis, MN
| | Expungement |
| 21-02551 | 08/15/2022 | Claimant(s): Joseph Dixon
Claimant Lawyers(s): Joseph O. Dixon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Barry Goldman, Phyllis Karasov, Allan Witz
Hearing Site: Minneapolis, MN
| | Dismissed by Rule 12504 |
| 21-01931 | 08/05/2022 | Claimant(s): Grant R. Lambert Lim Access TR DTD 12-27
Claimant Lawyers(s): Robert Kerrigan
Respondent(s): Worden Capital Management LLC, Jamie Worden, Michael Valdini
Respondent Lawyers(s): Jamie John Worden, Michael Anthony Valdini
Arbitrator(s): Thomas J. Gmeinder, Frederick Ramos, Jo Anne F. Lewellen
Hearing Site: Minneapolis, MN
| | $305,000 |
