| 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 |
| 09-03299 | 06/29/2011 | Claimant(s): Joel LeVahn, Jolene LeVahn
Claimant Lawyers(s): Lisa M. Lamm
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Peter Eckerline
Respondent Lawyers(s): Jaime H. Scivley
Arbitrator(s): Roger D. Johnson, Joan L. Volz, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $0 |
| 09-01670 | 03/10/2011 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Julie H. Firestone
Respondent(s): Lance Morque
Respondent Lawyers(s): Bruce N. Crawford
Arbitrator(s): Roger D. Johnson, Craig A. Gordon, Laura Kate Wennik
Hearing Site: Minneapolis, MN
| | |
| 09-03579 | 05/27/2010 | Claimant(s): The Elayne S. Wolfenson Trust, The Marvin E. Wolfenson Trust
Claimant Lawyers(s): Ronald L. Haskvitz
Respondent(s): Wells Fargo Investments, Todd Baker
Respondent Lawyers(s): Kristina W. Carlson
Arbitrator(s): Roger D. Johnson, Peter N. Thompson, Joan L. Volz
Hearing Site: Minneapolis, MN
| | $238,113 |
| 08-01203 | 11/10/2008 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): James Maurice
Respondent Lawyers(s): James Kenneth Maurice
Arbitrator(s): Roger D. Johnson
Hearing Site: Des Moines, IA
| | |
