21-02359 | 07/07/2023 | Claimant(s): Donna Dubroja Trust UA 11/19/09 Claimant Lawyers(s): Phyllis Sower Respondent(s): Christopher Wiedmar, Gregory Russell, Mitchell Barnes, Northwestern Mutual Investment Services Respondent Lawyers(s): Joel Wertman Arbitrator(s): Frederick Ramos, Raymond M. Kirtley, Jerry Gale McGrew Hearing Site: Louisville, KY
| | Expungement |
22-01569 | 06/08/2023 | Claimant(s): Mamadi Kourouma Claimant Lawyers(s): Mamadi Kourouma Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Noah D. Sorkin Arbitrator(s): John R. Michael, Frederick Ramos, Robert S Hendricks Hearing Site: Louisville, KY
| | $0 |
22-01078 | 02/17/2023 | Claimant(s): Jason Burkett Claimant Lawyers(s): Zachary Morse Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Frederick Ramos Hearing Site: Cheyenne, WY
| | |
21-01931 | 08/05/2022 | Claimant(s): Grant R. Lambert Lim Access TR DTD 12-27 Claimant Lawyers(s): Robert Kerrigan Respondent(s): Worden Capital Management LLC, Jamie Worden, Michael Valdini Respondent Lawyers(s): Jamie John Worden, Michael Anthony Valdini Arbitrator(s): Thomas J. Gmeinder, Frederick Ramos, Jo Anne F. Lewellen Hearing Site: Minneapolis, MN
| | $305,000 |
21-01024 | 04/19/2022 | Claimant(s): Eugene Elvecrog, Paula Elvecrog, Eugene L. Elvecrog IRA, Eugene L. Elvecrog Family Income Trust, Eugene L. Elvecrog Trust, Paula M. Elvecrog Family Income Trust, Paula M. Elvecrog Trust Claimant Lawyers(s): Michael Sutton MacDonald Respondent(s): Anne Machesky, Ryan Haag, Lincoln Financial Advisors Corporation Respondent Lawyers(s): Meagan A. Lamberti Arbitrator(s): Frederick Ramos, Leo G. Stern Hearing Site: Minneapolis, MN
| | Expungement |
20-00983 | 01/25/2022 | Claimant(s): Gary Hager, Gary Hager IRA, Gary Hager Roth IRA, Kathleen Hager IRA, FFI Automation Inc 401(k) PSP FBO Gary H, KW Automation 401(k) PSP FBO Gary Hager Claimant Lawyers(s): Gary Hager, Kathleen Hager Respondent(s): Kevin Nevin, Colony Park Financial Services LLC, Dempsey Lord Smith, Sandlapper Securities Respondent Lawyers(s): Daniel H. Wirth, Kevin Mark Nevin, Trevor L. Gordon Arbitrator(s): Lee T. Beske, Frederick Ramos, Steven M. Bialick Hearing Site: Minneapolis, MN
| | $0 |
20-03078 | 10/13/2021 | Claimant(s): James Alexander Claimant Lawyers(s): Steven M. McCauley Respondent(s): Joseph Depasquale, American Capital Partners Respondent Lawyers(s): Michael H. Ference Arbitrator(s): Bill Swinford, Frederick Ramos, Janet Marie Graham Hearing Site: Louisville, KY
| | Expungement |
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 |
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 |