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FINRA Awards for Minneapolis, MN

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Displaying 291-300 out of 346 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0242012/02/2010Claimant(s): Michael Klatte, Klatte Golf Management., Klatte Golf Partnership, Michael A. Klatte Charitable Remainder U
Claimant Lawyers(s): Michael MacDonald
Respondent(s): Anthony Salino, Lynn Schultz, RBC Dain Rauscher., Ron Ison, Roy Cohen, Mercer Asset Management., Mercer Capital Ltd., The Estate of Leonard Cleophas Demers
Respondent Lawyers(s): Anthony John Salino, Donald S. Arbour, Kelly W. Hoversten, Lynn G. Schultz, Lynn Gordon Schultz, Ron Jason Ison, Roy Cohen, The Company President
Arbitrator(s): Bruce J. Nerland, Thomas J. Gmeinder, Robert S. Burk
Hearing Site: Minneapolis, MN
Checkmark Icon$2,839,290
09-0098810/26/2010Claimant(s): Ed Conlin & Associates
Claimant Lawyers(s): Brent A. Lorentz
Respondent(s): Kenneth Marchiol, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jeffrey B. Kelvin, Kirsten Schubert
Arbitrator(s): James A. Lundberg, Richard A. Mosman, Larry N. Litt
Hearing Site: Minneapolis, MN
Checkmark Icon$0
10-0041908/19/2010Claimant(s): Bella Maisel
Claimant Lawyers(s): Bella Villella Maisel
Respondent(s): Feltl & Company
Respondent Lawyers(s): F. Chet Taylor
Arbitrator(s): Joan L. Volz
Hearing Site: Minneapolis, MN
Checkmark Icon$325
10-0021708/13/2010Claimant(s): Carol Halonen, Carol N Halonen, IRA
Claimant Lawyers(s): Carol N. Halonen
Respondent(s): Gerald Gries
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Lavon C. Phillips
Hearing Site: Minneapolis, MN
Checkmark Icon$0
09-0647108/11/2010Claimant(s): Saengnakhorn Cinq-Mars
Claimant Lawyers(s): Saengnakhorn Phothisane Cinq-Mars
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Renan Sugarman
Arbitrator(s): William J. Rosso, Andrew R. Dick, Frederick Ramos
Hearing Site: Minneapolis, MN
10-0074207/30/2010Claimant(s): Larry Arrigoni
Claimant Lawyers(s): Amy J. Ihlan
Respondent(s): Wachovia Securities, Wells Fargo Advisors, Mark Fautsch
Respondent Lawyers(s): Alan Rafterman
Arbitrator(s): Thomas J. Gmeinder
Hearing Site: Minneapolis, MN
Checkmark Icon$28,583
09-0361107/15/2010Claimant(s): Arlyn E. Hanson IRA, Priscilla E. Hanson IRA, Priscilla E. Hanson & Arlyn E. Hanson, Arlyn E. Hanson Trust, Priscilla E. Hanson Trust
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Kenneth Kauth, Wells Fargo Advisors
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Gerald M. Gifford, Douglas Randall Blohm, Douglas J. Nesbit
Hearing Site: Minneapolis, MN
Checkmark Icon$0
09-0612507/07/2010Claimant(s): Ann Lorenz
Claimant Lawyers(s): Ann Marie (Staci) Lorenz
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Daniel Derechin
Arbitrator(s): Phillip I. Finkelstein
Hearing Site: Minneapolis, MN
Checkmark Icon$213
09-0164206/28/2010Claimant(s): Michael McMahon
Claimant Lawyers(s): Shannon M. McDonough
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): James A. Lundberg, Andrew R. Dick, Gary L. Hansen
Hearing Site: Minneapolis, MN
09-0105306/01/2010Claimant(s): Jonathan Morse Seltzer IRA, Susan Oehler Seltzer IRA
Claimant Lawyers(s): Jonathan Morse Seltzer
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Daniel M. Rabinovitz
Arbitrator(s): Lawrence R. Commers, Richard W. Thiele, Brett W. Olander
Hearing Site: Minneapolis, MN
Checkmark Icon$0

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