| 23-02971 | 06/04/2024 | Claimant(s): Bryan Knudson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Phyllis Karasov
Hearing Site: Des Moines, IA
| | |
| 23-02306 | 04/02/2024 | Claimant(s): Timothy Derouin
Claimant Lawyers(s): Patrick E. Brookhouser
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Clarke C. Greene
Arbitrator(s): Leah Murray Albert, Phyllis Karasov, Danielle L. Anderson
Hearing Site: Des Moines, IA
| | |
| 23-01079 | 03/21/2024 | Claimant(s): Blake Schultz
Claimant Lawyers(s): L. Lars Hulsebus
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Mark A. Frankel, Peter F. Alepra, Colby L. Rhodd
Hearing Site: Des Moines, IA
|  | $0 |
| 23-01203 | 03/13/2024 | Claimant(s): Martin Weiss
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): New England Securities Corporation
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Steven Mark Bell
Hearing Site: Des Moines, IA
| | |
| 22-01012 | 12/13/2023 | Claimant(s): Gary Rabe
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Mark S. Foster, William B. Ross, Charles A. Palmer
Hearing Site: Des Moines, IA
| | $4,529 |
| 23-01257 | 12/06/2023 | Claimant(s): Andrew Schroeder
Claimant Lawyers(s): James P. Galvin
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): William M. Azkoul
Hearing Site: Des Moines, IA
| | |
| 23-01017 | 11/29/2023 | Claimant(s): Deanne Schlarbaum
Claimant Lawyers(s): Darwin Bunger
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Mark A. Frankel
Hearing Site: Des Moines, IA
| | $0 |
| 23-00352 | 08/18/2023 | Claimant(s): Timothy Hawkins
Claimant Lawyers(s): Jon M. Stanfield
Respondent(s): VSR Financial Services.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Mark S. Foster, David Evans Rosedahl, M W Gear
Hearing Site: Des Moines, IA
| | |
| 22-00202 | 04/25/2023 | Claimant(s): LaVonne Demuth
Claimant Lawyers(s): Paul D Gamez
Respondent(s): Brent Owens, Brooke Rockey, Dana Vietor, Daniel Hale, Kregg Rooze, Matthew Bahrenburg, Terry May, The Owens Family Trust
Respondent Lawyers(s): Andrew Shedlock, Gary S. Kessler
Arbitrator(s): Robert J. Scafuri, Barry Goldman, Joseph Tim Keeling
Hearing Site: Des Moines, IA
| | Expungement |
| 22-00781 | 02/10/2023 | Claimant(s): Brett Millsap
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Avery B. Goodman
Hearing Site: Des Moines, IA
| | |
