| 21-01564 | 11/28/2022 | Claimant(s): Angela Quinn, Curtis Wilson, Gloria Lotz, Jeffrey Temeyer, Leonard Kobliska, Linda Wilson, Michael Decker, Rick Kayser, Sheila Fangman, Steve Lint, William Brandenburg, William Lotz, William Quinn
Claimant Lawyers(s): Gail Boliver
Respondent(s): Ashley Bolson, Dana Vietor, CFD Investments.
Respondent Lawyers(s): Andrew R. Shedlock, Gary S. Kessler
Arbitrator(s): Steven C. Despotovich, Charles A. Palmer, Peter C Hildreth
Hearing Site: Des Moines, IA
|  | $5,702,980 |
| 21-03116 | 08/19/2022 | Claimant(s): Brian Nikulski
Claimant Lawyers(s): Michael Bessette
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Tracy L. Allen
Hearing Site: Des Moines, IA
| | |
| 19-02523 | 05/23/2022 | Claimant(s): Harry Alter, Harry S. Alter Revocable Trust
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Jamie Worden, Worden Capital Management LLC
Respondent Lawyers(s): Jamie John Worden
Arbitrator(s): Robert J. Scafuri, Jack D. Elmquist, Frederick B. Anderson
Hearing Site: Des Moines, IA
| | $60,000 |
| 21-01501 | 02/23/2022 | Claimant(s): Mark Gelbman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): M W Gear
Hearing Site: Des Moines, IA
| | |
| 21-01685 | 01/28/2022 | Claimant(s): Paul Barr
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Robert J. Scafuri
Hearing Site: Des Moines, IA
| | |
| 21-01192 | 01/28/2022 | Claimant(s): Reinhold Kunze
Claimant Lawyers(s): Thomas S. Reavely
Respondent(s): Myles Easter
Respondent Lawyers(s): Mark W. Thomas
Arbitrator(s): Leo G. Stern
Hearing Site: Des Moines, IA
| | $30,150 |
| 21-00563 | 01/10/2022 | Claimant(s): Robert Caswell
Claimant Lawyers(s): Kevin P. Krupnick
Respondent(s): Bruce Boyle, Lawrence Zelin, Thomas Diamante
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Des Moines, IA
| | Expungement |
| 18-03572 | 12/07/2021 | Claimant(s): Stine Seed Farm.
Claimant Lawyers(s): Patricia L. Vannoy
Respondent(s): D.A. Davidson & Co.
Respondent Lawyers(s): James K. Langdon
Arbitrator(s): Alain Frecon, Brett Coonrod, Deborah Kristine Gilg
Hearing Site: Des Moines, IA
| | $750 |
| 21-02302 | 12/02/2021 | Claimant(s): Robert Caswell
Claimant Lawyers(s): Kevin P. Krupnick
Respondent(s): Lawrence Fawcett
Respondent Lawyers(s): Lawrence John Fawcett
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Des Moines, IA
| | $0 |
| 19-02155 | 08/17/2021 | Claimant(s): Robert Crane
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Christopher Nelson, Craig Sherman, Joseph Thurnherr, Robert Calamunci, Wynston Hill Capital
Respondent Lawyers(s): Christopher Joseph Nelson, David A. Allen, Joseph Morris Thurnherr, Paul Goodman
Arbitrator(s): David Evans Rosedahl, Avery B. Goodman, Mark A. Frankel
Hearing Site: Des Moines, IA
| | $478,477 |
