FINRA Awards for Gerald M. Gifford

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
15-00338	03/24/2016	Claimant(s): Alexander Barned Claimant Lawyers(s): Michael A. Brockland Respondent(s): Kevin Bachmann Respondent Lawyers(s): Julie H. Firestone Arbitrator(s): Gerald M. Gifford, Douglas G. Plank, Steven Eric Brandes Hearing Site: Minneapolis, MN
13-02929	09/23/2014	Claimant(s): James Kirk Claimant Lawyers(s): Christopher P. Parrington Respondent(s): Frank Mccarthy, Ameriprise Financial Services. Respondent Lawyers(s): Julie Fleming-Wolfe Arbitrator(s): Gerald M. Gifford, Emily B. Boote, Robert S. Burk Hearing Site: Minneapolis, MN
10-04681	08/08/2012	Claimant(s): William Kiefer Claimant Lawyers(s): William Kiefer Respondent(s): Fintegra Respondent Lawyers(s): Sandra Smalley-Fleming Arbitrator(s): Gerald M. Gifford, Brett W. Olander, Leo G. Stern Hearing Site: Minneapolis, MN
09-03611	07/15/2010	Claimant(s): Arlyn E. Hanson IRA, Priscilla E. Hanson IRA, Priscilla E. Hanson & Arlyn E. Hanson, Arlyn E. Hanson Trust, Priscilla E. Hanson Trust Claimant Lawyers(s): Michael S. MacDonald Respondent(s): Kenneth Kauth, Wells Fargo Advisors Respondent Lawyers(s): Richard H. Kuhlman Arbitrator(s): Gerald M. Gifford, Douglas Randall Blohm, Douglas J. Nesbit Hearing Site: Minneapolis, MN		$0