| 20-02192 | 03/30/2021 | Claimant(s): Kelly Hoff
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Richard Kuhlman
Arbitrator(s): Philip J. Glick
Hearing Site: Minneapolis, MN
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| 20-01330 | 03/25/2021 | Claimant(s): Gary Tangwall
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Jeffrey A. Ziesman
Arbitrator(s): David Steven Paull
Hearing Site: Minneapolis, MN
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| 20-02211 | 03/17/2021 | Claimant(s): Christopher Burque
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Kathy A. Tatone
Hearing Site: Minneapolis, MN
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| 20-03711 | 02/25/2021 | Claimant(s): Darcy Christopherson
Claimant Lawyers(s): Darcy Christopherson
Respondent(s): G1 Execution Services, GTS Securities LLC
Respondent Lawyers(s): John C. Pickford, Paul McCurdy
Arbitrator(s): Frederick Ramos
Hearing Site: Minneapolis, MN
|  | $300 |
| 20-01505 | 02/17/2021 | Claimant(s): Jason Erickson
Claimant Lawyers(s): Brian Luther
Respondent(s): Capital Financial Services., United Planners' Financial Services Of A
Respondent Lawyers(s): David B. Hauer, Gordon Dihle
Arbitrator(s): Mark S. Gleason
Hearing Site: Minneapolis, MN
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| 20-02622 | 02/11/2021 | Claimant(s): James Goodland
Claimant Lawyers(s): Brian Luther
Respondent(s): Cambridge Investment Research., Spire Securities
Respondent Lawyers(s): Max Schatzow, Richard H. Kuhlman
Arbitrator(s): Gregory G. Gocek
Hearing Site: Minneapolis, MN
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| 20-01328 | 01/13/2021 | Claimant(s): Gary Tangwall
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Jeffrey A. Ziesman
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Minneapolis, MN
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| 20-00024 | 12/14/2020 | Claimant(s): Deborah Sandeno
Claimant Lawyers(s): F. Chet Taylor
Respondent(s): The Oak Ridge Financial Services Group,
Respondent Lawyers(s): Lisa M. Lamm Bachman
Arbitrator(s): Phyllis Karasov, Paul J. Hennen, Frank Abramson
Hearing Site: Minneapolis, MN
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| 20-02072 | 12/10/2020 | Claimant(s): Michael Koob
Claimant Lawyers(s): Ansis V. Viksnins
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Barry Goldman, LaVon C. Phillips, Matthew E. Piermantier
Hearing Site: Minneapolis, MN
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| 20-00975 | 11/29/2020 | Claimant(s): Debra Kuper
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Susan L. Walker
Hearing Site: Minneapolis, MN
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