FINRA Awards for Fisher & Co. Financial Services

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
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
10-02754	04/09/2012	Claimant(s): Craig Larmon, Steven Badeau, Geneva BCCX XVIII, Geneva FTCX I, Geneva OSWX XII, Geneva OSWX XXII, Geneva OSWX XXXVI Claimant Lawyers(s): Margaret A. Goetze Respondent(s): Dan Werry, Daniel Wegmann, Eric Swenson, Frederick Fisher, Ameriprise Financial Services., Leslie Smith, Richard Murphy, Ronald Brendengen, Shelley Davenport, Thomas Berthel, 1031 & TIC Investments, Berthel, Fisher & Co. Financial Services, Omni Brokerage. Respondent Lawyers(s): Britta Schnoor Loftus, Robert T. Matsuishi, Stephen J. Holtman Arbitrator(s): Andrew R. Dick, Grant D. Sanders, Morton H. Greenberg Hearing Site: Minneapolis, MN		$0