| 20-03004 | 03/31/2021 | Claimant(s): Thomas Weissenburger
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Robert Rudnicki
Arbitrator(s): Frederick Ramos
Hearing Site: Des Moines, IA
| | |
| 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 |
| 19-03484 | 11/09/2020 | Claimant(s): Atul Bhatia
Claimant Lawyers(s): Atul Kumar Bhatia
Respondent(s): EFG Capital International
Respondent Lawyers(s): Jonathan S. Robbins
Arbitrator(s): James A. Lundberg, Peter N. Thompson, Frederick Ramos
Hearing Site: Minneapolis, MN
| | |
| 19-01377 | 08/05/2020 | Claimant(s): Gary Gilbert
Claimant Lawyers(s): F. Chet Taylor
Respondent(s): Capital Financial Services.
Respondent Lawyers(s): Gordon Dihle
Arbitrator(s): Frederick Ramos, Robert Drae Venters, Steven Mark Bell
Hearing Site: Minneapolis, MN
| | |
| 18-03624 | 11/18/2019 | Claimant(s): Brian Ramler
Claimant Lawyers(s): Robert A Klingler
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Stacey N. Schmidt
Arbitrator(s): Frederick Ramos
Hearing Site: Cincinnati, OH
| | |
| 16-01128 | 05/11/2018 | Claimant(s): Frank Mabley
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Robert Nash, Merrimac Corporate Securities.
Respondent Lawyers(s): Robert G. Nash, Stephen Pizzuti
Arbitrator(s): Kenneth O. Fossey, Frederick Ramos, David Steven Paull
Hearing Site: Minneapolis, MN
| | $151,762 |
| 17-00340 | 02/01/2018 | Claimant(s): Irrev Trust of Roger and Gladys Linder
Claimant Lawyers(s): Casey D Marshall
Respondent(s): Ameriprise Financial Services., Jerome Hill, John Gruber
Respondent Lawyers(s): Joyce Svoboda, Kim M. Ruckdaschel-Haley
Arbitrator(s): Frederick Ramos, Steven M. Bialick, Matthew E. Piermantier
Hearing Site: Minneapolis, MN
| | Expungement |
| 17-01661 | 01/31/2018 | Claimant(s): Stephen Koessl
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Harbour Investments.
Respondent Lawyers(s): David Genelly
Arbitrator(s): Frederick Ramos
Hearing Site: Minneapolis, MN
| | |
| 16-00450 | 08/31/2017 | Claimant(s): Prospera Financial Services.
Claimant Lawyers(s): Niel Prosser
Respondent(s): Alan Luttman
Respondent Lawyers(s): Donald R. McNeil
Arbitrator(s): David Evans Rosedahl, Kevin D. Hofman, Frederick Ramos
Hearing Site: Minneapolis, MN
| | |
| 15-01494 | 08/08/2016 | Claimant(s): Mark Savage, M1 Capital Advisors LLC
Claimant Lawyers(s): Samuel M. Johnson
Respondent(s): Halcyon Cabot Partners, Ltd.
Respondent Lawyers(s): Ronald Heineman
Arbitrator(s): Douglas Randall Blohm, Frederick Ramos, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $132,925 |
