| 09-03579 | 05/27/2010 | Claimant(s): The Elayne S. Wolfenson Trust, The Marvin E. Wolfenson Trust
Claimant Lawyers(s): Ronald L. Haskvitz
Respondent(s): Wells Fargo Investments, Todd Baker
Respondent Lawyers(s): Kristina W. Carlson
Arbitrator(s): Roger D. Johnson, Peter N. Thompson, Joan L. Volz
Hearing Site: Minneapolis, MN
|  | $238,113 |
| 09-03577 | 05/19/2010 | Claimant(s): Richard Johnson
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Michael Wittenberg
Respondent Lawyers(s): Michael Scott Wittenberg
Arbitrator(s): Lawrence R. Commers, John R. Kelly, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $170,521 |
| 08-04425 | 05/14/2010 | Claimant(s): Guenther Roth
Claimant Lawyers(s): Thomas E. Jamison
Respondent(s): David Tysk, Ameriprise Financial Services.
Respondent Lawyers(s): John Rock
Arbitrator(s): Kathy A. Tatone, Arthur Richard Tow, Gary L. Hansen
Hearing Site: Minneapolis, MN
| | $466,000 |
| 09-05803 | 04/20/2010 | Claimant(s): Winona State University Foundation
Claimant Lawyers(s): Kent A. Gernander
Respondent(s): Brian Thurow, Edward Jones
Respondent Lawyers(s): Jonathan M. Harris
Arbitrator(s): Jerry M. Helfand, Natalie A. Roberts, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $0 |
| 08-02601 | 03/05/2010 | Claimant(s): Piper Jaffray & Co.
Claimant Lawyers(s): Terrence J. Fleming
Respondent(s): Christopher Peterson, Cole Ryba, David Holden, Stifel, Nicolaus & Co.., John Kuny, John Pinto, Lindsay Paine, Michael Loop, Michael Pellicci, Neil Koepcke, Stephen Tufo, Zigmund Peret
Respondent Lawyers(s): Richard Kuhlman
Arbitrator(s): Judith A. Rogosheske, Jack D. Elmquist, Edward C. Oliver
Hearing Site: Minneapolis, MN
| | |
| 09-00388 | 02/19/2010 | Claimant(s): Helen Prasil, John J. & Helen R. Prasil Rev.Trust
Claimant Lawyers(s): Christopher T Davis
Respondent(s): Ameriprise Financial Services., John Janes, Kari Douglas, Patty Nash, Randall Ehleringer, Ehleringer, Douglas & Associates
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Emily F. Seesel, Joyce G. Gordon, Richard W. Thiele
Hearing Site: Minneapolis, MN
| | Stipulated Award and Expungement |
| 09-04782 | 02/11/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Matthew Fitch
Respondent Lawyers(s): Matthew Daniel Fitch
Arbitrator(s): Jerry M. Helfand
Hearing Site: Minneapolis, MN
| | |
| 08-03602 | 02/04/2010 | Claimant(s): Renwood Erickson
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Emily F. Seesel, Alois S. McAvoy, Morton H. Greenberg
Hearing Site: Minneapolis, MN
| | $37,500 |
| 08-04724 | 12/21/2009 | Claimant(s): Piper Jaffray & Co., Piper Jaffray Companies
Claimant Lawyers(s): Julie A. Kole
Respondent(s): Jack Swenson, John Thorn, Michael Swenson
Respondent Lawyers(s): Amanda M. Knudsen
Arbitrator(s):
Hearing Site: Minneapolis, MN
| | |
| 09-02955 | 11/18/2009 | Claimant(s): Mary Hessler, Michael Hessler
Claimant Lawyers(s): Alan R. Perry
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Frederick Ramos
Hearing Site: Minneapolis, MN
| | $8,213 |
