| 11-00096 | 08/26/2011 | Claimant(s): Securities America.
Claimant Lawyers(s): Kelly R. Davis
Respondent(s): Richard Yantis
Respondent Lawyers(s): Eric W. Johnson
Arbitrator(s): Robert S. Burk
Hearing Site: Des Moines, IA
| | |
| 10-02369 | 06/24/2011 | Claimant(s): Dennis Soderstrum
Claimant Lawyers(s): Brenton D. Soderstrum
Respondent(s): Ronald Helland, Berthel, Fisher & Company
Respondent Lawyers(s): Vincent D. Louwagie
Arbitrator(s): P. J. Boylan, Douglas A. Spier, Mark E. Schantz
Hearing Site: Des Moines, IA
|  | $20,000 |
| 10-00033 | 12/14/2010 | Claimant(s): Robert Bryant
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Douglas W. Hyman
Arbitrator(s): Thomas J. Gmeinder
Hearing Site: Des Moines, IA
| | $108,570 |
| 09-01756 | 12/01/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Bryan Sampson, Connie Heinen, Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Stephen M. Bales
Arbitrator(s): Rolf V. Aronsen, Verne R. Gray, Thomas J. Duff
Hearing Site: Des Moines, IA
| | $2,428,030 |
| 09-04932 | 11/10/2010 | Claimant(s): RSA 1 Limited Partnership
Claimant Lawyers(s): Stanley J. Thompson
Respondent(s): Duane Sturm, Raymond James Financial Services., Raymond, James & Associates.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Andrew R. Dick, Mark S. Gleason, Steven C. Despotovich
Hearing Site: Des Moines, IA
| | Auction Rate Securities related |
| 09-02187 | 03/05/2010 | Claimant(s): Douglas Vander Weide
Claimant Lawyers(s): Michael A. Dee
Respondent(s): David Jesse, Richard Keeling, Robin Marshall
Respondent Lawyers(s): John D. Hintze
Arbitrator(s): Charles F. Custer, Richard L. Mitchell, Verne R. Gray
Hearing Site: Des Moines, IA
| | |
| 09-03736 | 02/24/2010 | Claimant(s): Paul Rodeheffer
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Douglas J. Nesbit
Hearing Site: Des Moines, IA
| | $10,949 |
| 09-03491 | 12/01/2009 | Claimant(s): Walter Miksovsky
Claimant Lawyers(s): Marnie C. Lambert
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn C. Best
Arbitrator(s): Carl G. Mohr
Hearing Site: Des Moines, IA
| | $24,199 |
| 08-04772 | 11/17/2009 | Claimant(s): Herold Family Living Trust
Claimant Lawyers(s): Cletus M. Herold
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Jack D. Elmquist, James P. O'Donnell, Alan B. Fender
Hearing Site: Des Moines, IA
| | $47,691 |
| 09-02556 | 10/09/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Frederick Scholer
Respondent Lawyers(s): Frederick Scholer
Arbitrator(s): Judith A. Payuk, Alan B. Fender, Susan Elaine Mersereau
Hearing Site: Des Moines, IA
| | |
