20-00024 | 12/14/2020 | Claimant(s): Deborah Sandeno Claimant Lawyers(s): F. Chet Taylor Respondent(s): The Oak Ridge Financial Services Group, Respondent Lawyers(s): Lisa M. Lamm Bachman Arbitrator(s): Phyllis Karasov, Paul J. Hennen, Frank Abramson Hearing Site: Minneapolis, MN
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16-02807 | 12/29/2017 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC Claimant Lawyers(s): Travis Chapin Respondent(s): Sean Daly Respondent Lawyers(s): Sean Declan Daly Arbitrator(s): F. Chet Taylor, Leo G. Stern, Frank Abramson Hearing Site: Minneapolis, MN
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14-02984 | 10/17/2016 | Claimant(s): Jean Kulsrud Claimant Lawyers(s): Steven D. Toskes Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Robert E. Goldberg Arbitrator(s): Lavon C. Phillips, Phyllis Karasov, Frank Abramson Hearing Site: Minneapolis, MN
| | Expungement |
15-01780 | 05/24/2016 | Claimant(s): Marc Kalter Claimant Lawyers(s): Timothy Feil Respondent(s): Gary Thome Respondent Lawyers(s): Hilton Weiner Arbitrator(s): Charles Orlove, Kerry C. Koep, Frank Abramson Hearing Site: Minneapolis, MN
| | Expungement |
14-01955 | 07/17/2015 | Claimant(s): Thomas Ottman Claimant Lawyers(s): Jonathan M. Harris Respondent(s): John Feltl, Mary Feltl, Feltl & Company Respondent Lawyers(s): Matthew T. Boos, Thomas F. Steichen Arbitrator(s): Joan L. Volz, John W. MacKimm, Frank Abramson Hearing Site: Minneapolis, MN
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13-02486 | 08/22/2014 | Claimant(s): Judith Frank, Lenore Vogt, Alfred A. Vogt Trust U/T/A Dated Feb 15 Claimant Lawyers(s): Jonathan M. Harris Respondent(s): Darrel Amiot, Scott Syde Respondent Lawyers(s): Darrell R. Amiot, Michael MacDonald Arbitrator(s): Jack D. Elmquist, Kevin D. Hofman, Frank Abramson Hearing Site: Minneapolis, MN
| | $0 |
11-03215 | 07/26/2013 | Claimant(s): Citizens Community Federal Claimant Lawyers(s): John J Schirger Respondent(s): Tamara McGovern, Shay Financial Services. Respondent Lawyers(s): Travis J. Quick Arbitrator(s): Terrence J. Fleming, Joan L. Volz, Frank Abramson Hearing Site: Minneapolis, MN
| | Stipulated Award and Expungement |
10-01454 | 05/22/2012 | Claimant(s): Sharon Palas Claimant Lawyers(s): Chad A. Snyder Respondent(s): Bruce Lick, Wells Fargo Advisors, David Cooper Respondent Lawyers(s): Nuviah Shirazi Arbitrator(s): Kathryn J. Hoy, Kathy A. Tatone, Frank Abramson Hearing Site: Minneapolis, MN
| | $0 |
08-00018 | 02/03/2009 | Claimant(s): David DeYoung, Lorrie Turvold Claimant Lawyers(s): James H. Kaster Respondent(s): Marc Kozberg, Michael Leonard, The Oak Ridge Financial Services Group, Respondent Lawyers(s): Terrence J. Fleming Arbitrator(s): Frederick Ramos, David A. Peterson, Frank Abramson Hearing Site: Minneapolis, MN
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