| 19-02914 | 04/17/2020 | Claimant(s): Barry Eller
Claimant Lawyers(s): Barry Carson Eller
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Marcia A. Washkuhn
Arbitrator(s): Terrence J. Fleming, Barry Goldman, Leo G. Stern
Hearing Site: Des Moines, IA
| | |
| 14-01098 | 01/13/2015 | Claimant(s): CliftonLarsonAllen Wealth Advisors
Claimant Lawyers(s): David P. Jendrzejek
Respondent(s): Jean Wolfe
Respondent Lawyers(s): Donald R. McNeil
Arbitrator(s): Lawrence R. Commers, Terrence J. Fleming, Thomas J. Gmeinder
Hearing Site: Minneapolis, MN
| | |
| 11-03215 | 07/26/2013 | Claimant(s): Citizens Community Federal
Claimant Lawyers(s): John J Schirger
Respondent(s): Tamara McGovern, Shay Financial Services.
Respondent Lawyers(s): Travis J. Quick
Arbitrator(s): Terrence J. Fleming, Joan L. Volz, Frank Abramson
Hearing Site: Minneapolis, MN
|  | Stipulated Award and Expungement |
| 06-02116 | 06/12/2008 | Claimant(s): Hatch Insurance Agency.
Claimant Lawyers(s): C. Mark Stratton
Respondent(s): Kirlin Securities.
Respondent Lawyers(s): Isaac M. Zucker
Arbitrator(s): Terrence J. Fleming, Robert Lee Nelson, Grant D. Sanders
Hearing Site: Minneapolis, MN
| | $30,000 |
