| 08-04398 | 11/12/2009 | Claimant(s): Northern Oil and Gas.
Claimant Lawyers(s): Matthew T. Boos
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Terrence J. Fleming
Arbitrator(s): Douglas G. Plank, Emily F. Seesel, Duane W. Krohnke
Hearing Site: Minneapolis, MN
|  | $875,352 |
| 09-02026 | 11/11/2009 | Claimant(s): Timothy Parker
Claimant Lawyers(s): Timothy E Parker
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Cathy Gress Springer
Arbitrator(s): Jerry M. Helfand
Hearing Site: Minneapolis, MN
| | |
| 09-01725 | 11/10/2009 | Claimant(s): Michael Melman
Claimant Lawyers(s): Michael Melman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Courtney R. Reid
Arbitrator(s): Andrew R. Dick
Hearing Site: Minneapolis, MN
| | $0 |
| 08-03921 | 11/09/2009 | Claimant(s): Ronald Hardy
Claimant Lawyers(s): Howard E. Greenberg
Respondent(s): Thomas Zulkowsky, Aura Financial Services.
Respondent Lawyers(s): Glenn M. Salvo, John Woodruff, Jr. Compliance
Arbitrator(s): Kathryn J. Hoy, Christine C. DeMoss, Jeffrey W. Jacobs
Hearing Site: Minneapolis, MN
| | $115,923 |
| 09-00947 | 11/09/2009 | Claimant(s): Thomas Zulkosky
Claimant Lawyers(s): J. Jackson
Respondent(s): Ronald Hardy, Aura Financial Services.
Respondent Lawyers(s): Howard E. Greenberg, John Woodruff, Jr. Compliance
Arbitrator(s):
Hearing Site: Minneapolis, MN
| | $115,923 |
| 08-04256 | 11/06/2009 | Claimant(s): Michael and Ann Gibson Trust
Claimant Lawyers(s): Michael Gibson
Respondent(s): Interactive Brokers LLC, M&A Gibson d/b/a Investment Enterprises
Respondent Lawyers(s): Juli Aylesworth, Michael Gibson
Arbitrator(s): Douglas Randall Blohm, Andrew R. Dick, Craig A. Gordon
Hearing Site: Minneapolis, MN
| | $0 |
| 09-02516 | 10/12/2009 | Claimant(s): Kenneth Cherrier
Claimant Lawyers(s): Terrence J. Fleming
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Irene E. Bassock
Arbitrator(s): James A. Lundberg, Loyall E. Wilson, Donald Ray McNeil
Hearing Site: Minneapolis, MN
| | |
| 08-02240 | 10/12/2009 | Claimant(s): RMD/R Family Ltd. Partnership, Tonka Lakes, The Robert J. Rotenberg 2002 Irvoc Tr
Claimant Lawyers(s): Mark L. Johnson
Respondent(s): Deutsche Bank Securities., Deutsche Bank Alex.Brown
Respondent Lawyers(s): Bradford D. Kaufman
Arbitrator(s): Judith A. Rogosheske, Brett W. Olander, Patricia S. Bartholomew
Hearing Site: Minneapolis, MN
| | $315,600 |
| 09-02027 | 09/16/2009 | Claimant(s): Mark Kaplan
Claimant Lawyers(s): Felix M. Phillips
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Mark S. Gleason
Hearing Site: Minneapolis, MN
| | $25,000 |
| 06-05107 | 07/28/2009 | Claimant(s): Thomas Powell, Thomas L. Powell, IRA
Claimant Lawyers(s): Donald M. Feferman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): J. Jackson
Arbitrator(s): Robert E. Robertson, Lawrence R. Commers, Arthur Richard Tow
Hearing Site: Minneapolis, MN
| | $0 |
