| 11-02508 | 04/24/2013 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Chad Andrews, Raymond James Financial Services.
Respondent Lawyers(s): Kelli Bullington, Peter Gardner
Arbitrator(s): Rolf V. Aronsen, Andrew R. Dick, John J. Sagness
Hearing Site: Des Moines, IA
| | |
| 12-01570 | 03/20/2013 | Claimant(s): Andy Mack
Claimant Lawyers(s): Andy Mack
Respondent(s): Brett Friedberg, HFP Capital Markets LLC
Respondent Lawyers(s): Samuel J. Lieberman
Arbitrator(s): Brett W. Olander
Hearing Site: Des Moines, IA
|  | Expungement |
| 11-04331 | 03/07/2013 | Claimant(s): Dale Stamer, Dan Schroeder, Darla Severding, David Steinke, Dennis Tucker, Dianna Sheets, Don Severding, Donna Medinger, Grant Christianson, Jerry Hartnell, Julie Schroeder, Kirk Sims, Lori Baylor, Michael Stamer, Neil Case, Pat Tucker, Patricia O'Callaghan, Randy Kingery, Richard Beltz, Rita Beltz, et al
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Thomas Berthel, Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Cory D. Olson
Arbitrator(s): Leo G. Stern, Thomas L. Dueber, Grant D. Sanders
Hearing Site: Des Moines, IA
| | $0 |
| 10-03899 | 01/17/2013 | Claimant(s): Jerry Jochims, Linda Govern, Rick Govern, Winton Boyd
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Thomas Berthel, Berthel, Fisher & Co. Financial Services
Respondent Lawyers(s): Vincent D. Louwagie
Arbitrator(s): Roger D. Johnson, Stephen C. Esposito, James H. Colburn
Hearing Site: Des Moines, IA
| | $0 |
| 11-00917 | 07/13/2012 | Claimant(s): Chongqing Du, Li Zhu
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): John Rock
Arbitrator(s): Herbert S. Bratt, Robert S. Burk, Grant D. Sanders
Hearing Site: Des Moines, IA
| | $300 |
| 11-04712 | 07/11/2012 | Claimant(s): Herold Family Living Trust UAD
Claimant Lawyers(s): Cletus M. Herold
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde Hoffman
Arbitrator(s): William B. Ross
Hearing Site: Des Moines, IA
| | $0 |
| 11-02249 | 05/16/2012 | Claimant(s): Susan Wallace
Claimant Lawyers(s): Ronald William Kepford
Respondent(s): Broker Dealer Financial Services Corp.
Respondent Lawyers(s): David W. Dunn
Arbitrator(s): James A. Lundberg
Hearing Site: Des Moines, IA
| | $96,868 |
| 10-03348 | 12/14/2011 | Claimant(s): Pruco Securities, Prudential Insurance Agency, The Purdential Insurance Co. of America
Claimant Lawyers(s): Stephen Castaldo
Respondent(s): Douglas Inlay
Respondent Lawyers(s): Douglas E. Inlay
Arbitrator(s): Thomas F. Mahoney, Lawrence R. Commers, Steven C. Despotovich
Hearing Site: Des Moines, IA
| | |
| 10-01154 | 11/03/2011 | Claimant(s): Ernest Perea, Rita Perea
Claimant Lawyers(s): Thomas S. Reavely
Respondent(s): Ameriprise Financial Services., Michael Franke, Ryan Surber
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Herbert S. Bratt, Andrew R. Dick, Daniel E. Wright
Hearing Site: Des Moines, IA
| | Expungement |
| 11-01508 | 09/29/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): William McGuane
Respondent Lawyers(s): William McGuane
Arbitrator(s): Leo G. Stern
Hearing Site: Des Moines, IA
| | |
