| 18-00195 | 06/05/2019 | Claimant(s): Tom Nomeland
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Robert Solow, Theodore Allocca, William Quigley, Trident Partners Ltd.
Respondent Lawyers(s): Eric J. Sussman, Robert Paul Solow, William Michael Quigley
Arbitrator(s): Bruce J. Nerland, Jack D. Elmquist, Susan M. Sanger
Hearing Site: Minneapolis, MN
|  | $0 |
| 18-00211 | 04/11/2019 | Claimant(s): Cletus Gernes
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Arthur Richard Tow, Susan M. Sanger, William Joseph Caprathe
Hearing Site: Minneapolis, MN
| | Expungement |
| 16-00561 | 06/30/2016 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Michelle Leisen, Wealth Planning Group
Respondent Lawyers(s): Joel Schroeder
Arbitrator(s): AnnDrea M. Benson, Rolf V. Aronsen, Susan M. Sanger
Hearing Site: Minneapolis, MN
| | |
| 14-00142 | 11/17/2014 | Claimant(s): James Pietrowski
Claimant Lawyers(s): Scott D. Hirsch
Respondent(s): Berthel, Fisher & Company Financial
Respondent Lawyers(s): Cory D. Olson
Arbitrator(s): Brett W. Olander, Robert Lee Nelson, Susan M. Sanger
Hearing Site: Minneapolis, MN
| | $0 |
| 13-02360 | 05/13/2014 | Claimant(s): Carroll Martini, Mildred Martini, Carroll Martini IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Proequities.
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Douglas J. Nesbit, Kevin D. Hofman, Susan M. Sanger
Hearing Site: Minneapolis, MN
| | $0 |
| 12-00764 | 11/20/2013 | Claimant(s): Ronnie Erickson, Stacy Erickson, Ronnie & Stacy Erickson Charitable Trust, Ronnie L. Erickson Trust, Stacy L. Erickson Trust
Claimant Lawyers(s): Kristina L. Carlson
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): Robert S. Burk, David A. Peterson, Susan M. Sanger
Hearing Site: Minneapolis, MN
| | $6,157,880 |
| 11-00576 | 07/06/2012 | Claimant(s): Janet Bowman, Geneva OSWX I, Janet Furman Bowman Trust
Claimant Lawyers(s): Dan J. Suppalla
Respondent(s): Richard Murphy, Thomas Biesheuvel, Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Stephen J. Holtman
Arbitrator(s): Douglas G. Plank, Susan M. Sanger, Todd W. Schnell
Hearing Site: Minneapolis, MN
| | $0 |
| 10-02538 | 06/13/2011 | Claimant(s): Marlon Dubinsky
Claimant Lawyers(s): Gerald T. Laurie
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): John B. Orenstein, Natalie A. Roberts, Susan M. Sanger
Hearing Site: Minneapolis, MN
| | |
| 09-06559 | 03/07/2011 | Claimant(s): Allyn Husman, JoAnn Husman
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Ralph Schneider, Ronald Kerher, Okoboji Financial Services.
Respondent Lawyers(s): President of the Company, Ralph R. Schneider, William D. Nelson
Arbitrator(s): Kevin D. Hofman, Susan M. Sanger, Wayne A. Robinson
Hearing Site: Minneapolis, MN
| | $299,400 |
