| 22-01504 | 08/24/2023 | Claimant(s): Terrence Ransom
Claimant Lawyers(s): Robert D. Loventhal
Respondent(s): Richard Gozola
Respondent Lawyers(s): Richard W. Gozola
Arbitrator(s): Emily B. Boote, Martin D. Munic, Phyllis Karasov
Hearing Site: Minneapolis, MN
|  | Expungement |
| 22-01599 | 06/09/2023 | Claimant(s): Jamie Grupe
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Tracy L. Allen
Hearing Site: Minneapolis, MN
| | |
| 21-01387 | 05/24/2023 | Claimant(s): Pascal Desrosiers
Claimant Lawyers(s): Aklilu Dunlap
Respondent(s): Truist Investment Services.
Respondent Lawyers(s): Thomas DeFranco
Arbitrator(s): Charles R. Manzoni, Peter N. Thompson, Jo Anne F. Lewellen
Hearing Site: Minneapolis, MN
| | $0 |
| 22-02619 | 04/03/2023 | Claimant(s): Jarod Martell
Claimant Lawyers(s): Jarod Martell
Respondent(s): Cash App Investing LLC
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Tracy L. Allen
Hearing Site: Minneapolis, MN
| | $150 |
| 21-00606 | 12/21/2022 | Claimant(s): Mitchell Bublitz, IRA
Claimant Lawyers(s): Michael MacDonald
Respondent(s): Stifel, Nicolaus & Co.., Richard Schultz
Respondent Lawyers(s): Julie H. Firestone
Arbitrator(s): Jack D. Elmquist, Douglas J. Nesbit, Mary Louise Hilfiker
Hearing Site: Minneapolis, MN
| | $1,000 |
| 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 |
