| 21-01255 | 10/06/2021 | Claimant(s): Catherine Davis, Catherine C. Davis Trust
Claimant Lawyers(s): Catherine C. Davis
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Minneapolis, MN
|  | $43,296 |
| 19-00571 | 08/04/2021 | Claimant(s): Darla D. Ward, Lawrence J. Ward
Claimant Lawyers(s): F. Chet Taylor
Respondent(s): Cheryl Romann, Donald Waage, John Carlson, Steven Knuttila, Capital Financial Services.
Respondent Lawyers(s): Cheryl Lynn Romann, David A. Baugh, Donald Waage, Gordon Dihle, Steven R. Knuttila
Arbitrator(s): Douglas J. Nesbit, Phyllis Karasov, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $939,300 |
| 19-02889 | 08/03/2021 | Claimant(s): Alioune Thiam
Claimant Lawyers(s): Alioune Thiam
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Frederick Ramos, Grant D. Sanders, Dana Roberts
Hearing Site: Minneapolis, MN
| | $0 |
| 20-02996 | 07/06/2021 | Claimant(s): Daniel Steichen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Tracy L. Allen
Hearing Site: Minneapolis, MN
| | |
| 20-02994 | 06/15/2021 | Claimant(s): Jodi Miller-Hammes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Minneapolis, MN
| | |
| 21-00035 | 05/28/2021 | Claimant(s): Robert Webb
Claimant Lawyers(s): Robert V. Webb
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Frederick Ramos
Hearing Site: Minneapolis, MN
| | $0 |
| 19-02808 | 05/26/2021 | Claimant(s): Thomas Mayberry
Claimant Lawyers(s): Mitchell Markowitz
Respondent(s): Clifford Reid, Elvis Parkes, Reid & Rudiger LLC
Respondent Lawyers(s): Joel S. Forman
Arbitrator(s): Frederick Ramos
Hearing Site: Minneapolis, MN
| | Expungement |
| 20-02936 | 04/21/2021 | Claimant(s): Eric Wegner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Parkland Securities
Respondent Lawyers(s): Randolph F. Pistor
Arbitrator(s): Tracy L. Allen
Hearing Site: Minneapolis, MN
| | |
| 20-03115 | 04/20/2021 | Claimant(s): Michelle Young
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Minneapolis, MN
| | |
| 20-02937 | 04/07/2021 | Claimant(s): Eric Wegner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Sigma Financial Corporation
Respondent Lawyers(s): Randolph F. Pistor
Arbitrator(s): Susan L. Walker
Hearing Site: Minneapolis, MN
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