| 13-00953 | 01/26/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Robert Brooks
Respondent Lawyers(s): Robert Jay Brooks
Arbitrator(s): Lawrence R. Commers, Julie A. Hennen, Frederick Ramos
Hearing Site: Minneapolis, MN
| | |
| 13-00230 | 05/15/2014 | Claimant(s): Irene Theis
Claimant Lawyers(s): Gary Menzer
Respondent(s): Invest Financial Corporation
Respondent Lawyers(s): John Rock
Arbitrator(s): Frederick Ramos
Hearing Site: Minneapolis, MN
|  | Expungement |
| 10-04618 | 01/23/2012 | Claimant(s): Robert Gloss
Claimant Lawyers(s): Michael F Marlow
Respondent(s): Wells Fargo Investments, James Beare
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): William B. Ross, Lee T. Beske, Frederick Ramos
Hearing Site: Minneapolis, MN
| | Expungement |
| 10-01715 | 06/20/2011 | Claimant(s): Janice Ebeling, Leslie Ebeling, Leslie J. Ebeling,Custodian of his IRA
Claimant Lawyers(s): Paul D. Malmfeldt
Respondent(s): Ralph Schneider, Okoboji Financial Services.
Respondent Lawyers(s): Ralph R. Schneider, President, Ralph S. Schneider
Arbitrator(s): Christine C. DeMoss, Lee T. Beske, Frederick Ramos
Hearing Site: Minneapolis, MN
| | $223,870 |
| 09-04732 | 03/08/2011 | Claimant(s): Damon Reel
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Phyllis Karasov, Julie A. Hennen, Frederick Ramos
Hearing Site: Rapid City, SD
| | Expungement |
| 09-06471 | 08/11/2010 | Claimant(s): Saengnakhorn Cinq-Mars
Claimant Lawyers(s): Saengnakhorn Phothisane Cinq-Mars
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Renan Sugarman
Arbitrator(s): William J. Rosso, Andrew R. Dick, Frederick Ramos
Hearing Site: Minneapolis, MN
| | |
| 09-02955 | 11/18/2009 | Claimant(s): Mary Hessler, Michael Hessler
Claimant Lawyers(s): Alan R. Perry
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Frederick Ramos
Hearing Site: Minneapolis, MN
| | $8,213 |
| 08-02118 | 05/29/2009 | Claimant(s): Gary L. Wilhelm, IRA
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kelly J. Moynihan
Arbitrator(s): Frederick Ramos
Hearing Site: Minneapolis, MN
| | $14,570 |
| 08-00018 | 02/03/2009 | Claimant(s): David DeYoung, Lorrie Turvold
Claimant Lawyers(s): James H. Kaster
Respondent(s): Marc Kozberg, Michael Leonard, The Oak Ridge Financial Services Group,
Respondent Lawyers(s): Terrence J. Fleming
Arbitrator(s): Frederick Ramos, David A. Peterson, Frank Abramson
Hearing Site: Minneapolis, MN
| | |
| 03-05904 | 11/30/2007 | Claimant(s): Alyson Johansen
Claimant Lawyers(s): Gary A. Weissman
Respondent(s): Washington Square Securities.
Respondent Lawyers(s): Kenneth L. Dobkin
Arbitrator(s): Albert A. Woodward, Frederick Ramos, Frederick C. Brown
Hearing Site: Minneapolis, MN
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